Securities Criminal Law

SEC FCPA DOJ Insider Trading Enforcement Actions Compliance Criminal Prosecution Securities Fraud Enforcement Bribery US v Newman Personal Benefit Fraud Illegal Tipping Anti-Corruption UK Popular SCOTUS White Collar Crimes Deferred Prosecution Agreements Securities FCPA Resource Guide Material Nonpublic Information CFTC US v Salman Hedge Funds Financial Conduct Authority (FCA) Chief Compliance Officers Dirks v SEC Whistleblowers China Settlement Corruption Dodd-Frank FINRA Misappropriation EU Tippees Securities Exchange Act Tippers Broker-Dealer Internal Investigations Investment Adviser Non-Prosecution Agreements Confidential Information Indictments Banks Money Laundering Libor Ponzi Scheme Corporate Counsel Market Manipulation Wire Fraud Portfolio Managers Anti-Money Laundering Securities Litigation Anti-Bribery Criminal Conspiracy Foreign Official Personal Liability Serious Fraud Office Disgorgement Audits Investigations Investment Funds Yates Memorandum Australia Due Diligence FinCEN Internal Controls Securities Violations UK Bribery Act Appeals Conflicts of Interest Mary Jo White Price Manipulation Rule 10b-5 Spoofing C-Suite Executives Cooperation Government Investigations Hong Kong Banking Sector Convictions Ethics Fiduciary Duty Pharmaceutical Industry Self-Reporting Bank Secrecy Act Penalties Federal Sentencing Guidelines JPMorgan Chase Offering Fraud Risk Assessment Breach of Duty Civil Monetary Penalty Corporate Executives Criminal Convictions FBI Financial Institutions Guilty Pleas Misrepresentation Reporting Requirements Risk Management Securities Act of 1933 Voluntary Disclosure Canada Class Action Corporate Governance False Claims Act (FCA) High Frequency Trading OFAC Statute of Limitations Corporate Officers Cybersecurity Federal Pilot Programs Fines PCAOB Sanctions Sentencing Virtual Currency Bitcoin Books & Records Conspiracies European Securities and Markets Authority (ESMA) Extraterritoriality Rules False Statements Individual Accountability Oil & Gas SFO Swaps Administrative Hearings Bernie Madoff Board of Directors Brazil Corporate Crimes Dell Evidence Forfeiture Goldman Sachs Hackers Judge Rakoff Morgan Stanley Ralph Lauren Strategic Enforcement Plan Attorney-Client Privilege Brokers Deutsche Bank Employer Liability Issues Federal Reserve Financial Markets Foreign Banks Jurisdiction Kickbacks Nvidia OECD Personal Jurisdiction Remediation RMBS Sarbanes-Oxley Section 10(b) Shareholders Subsidiaries Unregistered Securities Avon Bank Fraud Bank of America Barclays Corporate Misconduct Cross-Border Foreign Nationals Foreign Subsidiaries Investors Mail Fraud Mortgage-Backed Securities Mortgages Petition For Rehearing Pump and Dump Raj Rajaratnam RICO Siemens Tax Evasion U.S. Treasury Whistleblower Awards Acquisitions Arbitration Citigroup Dark Pool Declination GlaxoSmithKline IRS Municipal Bonds Neither Admit Nor Deny Settlements Non-Public Information OCC Russia Security-Based Swaps Stocks Suspicious Activity Reports (SARs) Wal-Mart Asset Management BIS CME Collateralized Debt Obligations Commodities Exchange Act Data Breach Disclosure Requirements Disruptive Trading Practices EB-5 Eli Lilly Export Controls FDIC Fifth Amendment Financial Regulatory Reform Fund Managers Investment Advisers Act of 1940 Japan JOBS Act Market Abuse Medical Devices Mergers Minimum Contacts Obstruction of Justice Professional Liability Red Notices SAC Capital UBS Unregistered Brokers Whistleblower Protection Policies Admissions Algorithmic Trading Alstom Anti-Retaliation Provisions Attorney's Fees Bank of New York (BNY) Mellon Best Management Practices CEOs Certiorari Commodities Corporate Fraud CPO Criminal Investigations Criminal Penalties Criminal Sanctions Crowdfunding D&O Insurance Dismissals Email Extradition FATCA Financial Services Authority FIRREA Forex FSMA Futures Government Officials Meals-Gifts-and Entertainment Rules Mens Rea NFA Petrobras Private Equity Proposed Legislation Prudential Regulation Authority Recordkeeping Requirements Short Sales Tender Offers Terrorism Funding Teva Pharmaceuticals Training Volcker Rule Acquittals Akamai Technologies Auditors Capital Markets Cease and Desist Orders CFPB CFPOA Charitable Donations Clawbacks Conflict Mineral Rules Custody Rule Customs Cyber Attacks Department of Financial Services Derivatives Directors En Banc Review Federal Contractors Federal Prosecutors Financial Crimes Foreign Exchanges Foreign Jurisdictions FTC Hewlett-Packard HSBC Investment Fraud Investment Management Iran Sanctions Jury Verdicts Martoma Material Misstatements Mexico Multinationals Ontario Securities Commission (OSC) Patents Permanent Injunctions Petition for Writ of Certiorari Public Officials Qualcomm Rajat Gupta RBS Regulatory Agenda Restitution Risk Mitigation Rolls-Royce Rule 10(b) Scienter SDN List Shell Corporations Sherman Act Stress Tests Third-Party Third-Party Risk Ukraine Venezuela Wiretapping Young Lawyers Administrative Proceedings Aerospace Aiding and Abetting ALJ Allianz Asset Freeze Attorney Generals Australian Securities and Investments Commission Automotive Industry Bank Holding Company Basel Committee Benchmark Pricing BHP Billiton BlackRock Broken Windows Capital Gains Cherry Picking Civil Forfeiture Code of Conduct Commercial Bankruptcy Commodity Pool Corporate Criminal Fines Corporate Culture Corporate Gifts Credit Suisse Criminal Liability Currency Transaction Reports (CTR) Customer Due Diligence (CDD) Customer Identification Program (CIP) Damages Data Security Derivative Suit DHS Due Process eBay EMIR ERISA Ernst & Young European Banking Authority Exports Facilitation Payments FCPA Guidance FHFA Financial Crisis Financial Services Industry Financial Statements Foreign Corporations Form 10-K Fraud-on-the-Market Frozen Assets FTAIA Gabelli v SEC GAO Germany Goodyear Healthcare Hong Kong Securities and Futures Commission (HKSFC) Income Taxes Indemnification India Instrumentality IPO Janus Capital Group Jury Trial KPMG Kuwait Loans Magyar Telekom Mandatory Victim's Restitution Act Manufacturers Martin Shkreli Medicaid Memorandum of Understanding MiFID II Mining Morrison v National Australia Bank Municipal Securities Market No-Action Relief Novartis OCIE Patent Infringement Patriot Act Penny Stocks Prejudgment Interest Proposed Amendments Proposed Regulation Public Comment Publicly-Traded Companies Pyramid Schemes Quid Pro Quo Rating Agencies Registered Investment Advisors Registration Registration Statement Regulation SHO Regulatory Standards Retailers SEC v Straub Shareholder Litigation State-Owned Enterprises STOCK Act Stock Trades Subpoenas Successor Liability Swap Dealers Telecommunications Third-Party Service Provider Trade Market Abuse Trade Secrets Trademarks Transparency Trust Preferred Securities Trustees Twitter U.S. Commerce Department UK Brexit US v Yates Visas Waivers Wells Fargo Willful Misconduct Work Product Privilege 10b5-1 Plans Accounting Accounting Fraud Africa Aircraft Sales Airlines Alien Tort Statute Anonymity Antitrust Investigations Apple Argentina Arms Export Control Act Asia Athletes Bad Actors BaFin Bank Holding Company Act Banking Crisis Barack Obama Beneficial Owner Bid Rigging Bids Big Law Bio-Rad Laboratories Biofuel BizJet Block Trades Bonds BSA/AML Burden of Proof Business Continuity Plans Bylaws Capital Requirements Cease and Desist Certifications CFOs Commodity Futures Contracts Consent Order Cooperation Initiative Corporate Fines Corporate Investigations Corporate Liability Corporate Social Responsibility Covered Financial Institutions Credit Ratings Criminal Defense Criminal Records Cross-Border Transactions CTA Currency Exchange Cyber Crimes Cyber Threats Data Collection Data Privacy Data Protection Defense Strategies Delaware General Corporation Law Derivatives Clearing Organizations Destruction of Evidence Direct Access Partners Disciplinary Proceedings Discovery DOL DPA Economic Sanctions Eighth Amendment Electronic Blue Sheets Energy Market Energy Sector Enforcement Statistics Eric Holder EU Market Abuse Regulation (EU MAR) European Commission Excessive Fees Exchange-Traded Products Expert Testimony Extortion Failure To Disclose False Advertising FATF FCMs FDA Fee-Shifting FERC FIFA Filing Requirements Final Rules Financial Instruments Financial Reporting Flash Crash FLIR System Foreign Defendants Foreign Investment Fourth Amendment France FSIA GAAP Gambling General Electric Gun Laws Habeas Corpus Halliburton Hiring & Firing Hitachi Hobbs Act Hong Kong Stock Exchange Hospitality Industry Hospitals IBM Identity Theft Illegal Imports Immigrants Industry Examinations Information Sharing Injunctions Inspections Insurance Industry Intent International Litigation International Organization for Standardization Internet Service Providers (ISPs) Interstate Commerce Investment Banks Investment Companies Investment Firms Investor Protection ISS ITAR Joint Venture Jury Instructions Justice Scalia Lanham Act Latin America Legal Entities Lehman Brothers Liquidity Liquidity Coverage Ratio Litigation Fees & Costs Lying Malware Margin Calls Mark Cuban Market Participants McDonnell v US Medicare Member State Merrill Lynch Money Services Business Mortgage Lenders Motion to Dismiss Mutual Funds Nasdaq New Legislation New Regulations No-Action Letters Nortek NPRM Nu Skin NYSE Offshore Drilling Olympics Omnicare Omnicare v Laborers District Council Oppenheimer & Co. Pay-To-Play Physicians Political Intelligence Press Releases Price-Fixing Private Funds Private Placements Professional Misconduct Profits Promissory Notes Public Disclosure Qui Tam Recidivism REIT Remedies REMIT Residential Capital LLC Reversal Risk-Based Approaches Royal Bank of Scotland Rule 506 Offerings S&P Scams Sealed Records SEC v Payton SEC v Sharef Section 10(b)-5 Securities Act Selective Waivers Self-Dealing Self-Disclosure Requirements Settlement Agreements Shaw v United States Silk Road SLUSA South Africa South Korea Split of Authority Sports State Farm Fire and Casualty Co v United States ex rel Rigsby Statute of Repose Steve Cohen Stock Promoters Stop Order Subprime Mortgages Summary Judgment Supervision Supply Chain Swap Data Repositories Tax Deductions Tax Fraud Tax Refunds Theft Too Big to Fail Trans-Pacific Partnership Travel Act Underwriting United Airlines United Nations Upjohn Warnings Vacated VimpelCom Volkswagen Wall Street Warrantless Searches WKSIs Absolute Privilege Abuse of Power Accomplice Liability Accounting Controls Actual or Constructive Knowledge Administrative Authority Administrative Procedure Act Administrative Resignation Advancement Advertising Advisory Opinions Agency Deference Agents Aggregation Rules AIFM AIFMD AIFS AIM Airbus Aircraft Equipment Airports Alcoa Aleynikov Ally Financial Inc Alternative Investment Funds Amended Regulation America Invents Act AML-CTF Analytics Anheuser-Busch Annual Assessments Annuities Annunzio-Wylie Anti-Money Laundering Act Anti-Dumping Duty Anti-Terrorism Financing Antiterrorism Act Antitrust Division Antitrust Litigation Apple v Samsung Appointments Clause Apportionment Article III Article of Manufacture Artificial Impairment Asia Pacific Asset Valuations AstraZeneca Attorney Malpractice Audit Committee Auditor Independence Auto Body Shop Auto Insurance Auto Manufacturers Automotive Loans Aviation Industry B&B Hardware v Hargis Industries Balance Sheets Bangladesh Bank Fraud Act Bank of England BATS Exchange Benchmarking Benchmarks Billable Hours Billing Biotechnology BitLicense Blockchain BNP Paribas Boeing BP Breach of Contract Breach of Trust Bristol-Myers Squibb Broker Commissions Brokered Deposits BRRD Bruker Building Permits Business Development BVI Business Companies Calculation of Damages Campbell Ewald v Gomez Capital Formation Capital Losses Capital One Carbon Emissions Cartels Casey Anthony Causation CBOE CEA Cell Phones Censorship CFDA Chamber of Commerce Chapter 7 Charles Schwab Chevron Deference Choke Point Churning CIP Cisco Citibank Civil Investigation Demand Claim Construction Claim Denial Letters Class Certification Clean Companies Act Clear Error Standard Clearing Members Clinical Laboratories Cobalt Collateral Estoppel College Athletes Collusion Color of Right Columbia Comment Period Commerzbank Common-Interest Privilege Community Reinvestment Act Competition Complex Litigation Compliance Costs Conditional Gifts Confidential Documents Conflicts of Laws Congressional Committees Congressional Intent Congressional Investigations & Hearings Consideration Constitutional Challenges Construction Industry Consultants Consultation Consumer Credit Protection Consumer Lenders Consumer Watchdog Contract Drafting Contractors Controlled Foreign Corporations Controlled Substances Cooperation Agreement COOs Copyright Copyright Alert System Corporate Financing Corporate Integrity Agreement Corporate Issuers Corporate Taxes Corporate Veil Corporations Code Cost Allocation Costco Counter-Terrorist Counterparties Countervailing Duties Countrywide Covered Transactions Cramdown CRD IV Directive Crime Victims Criminal Antitrust Litigation Criminal Procedure Criminalization Crisis Management CSRC Cuba Customer Funds Protection Customs and Border Protection Cyber Incident Reporting Cyberforensics DACA DaimlerAG Dallas Airmotive De Minimis Claims De Novo Standard of Review Deadlines Debt Financing Debt Securities Defense Contracts Deloitte Demand Futility Deposit Advances Depositions Design Patent Diebold Inc Dietz v Bouldin Digital Assets DirecTV v Imburgia Disclosure Discovery Rule Discussion Draft Dispute Resolution Disqualification Distribution Rules Distributors Dividends Divorce DMO Document Productions Documentation Double Jeopardy DreamWorks Duncan v Owens E-Commerce EB-5 Regional Centers EBA Economic Espionage Act EDGAR EEA EFRP EFTs Egypt Election Results Electronics Elizabeth Warren Emissions Trading System Employee Training Employer Group Health Plans End-Users Energy Energy Exploration Energy Policy Energy Projects Enforcement Authority Enron Entergy Environmental Crimes EPA Equal Protection Equity Markets Ericsson EURIBOR Examiners Executive Branch Executive Compensation Executive Orders Exemptions Expedia Extensions Exxon Mobil Facebook Fair Lending Falsified Documents Fannie Mae Fantasy Sports FATCA Timeline Federal Arbitration Act Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015 Federal Election Commission (FEC) Federal Jurisdiction Federal Rules of Civil Procedure Federal Rules of Evidence Federal v State Law Application Feeder Funds Fees Financial Products Financial Restatements Financial Sector Financial Services Act FINRA Hearing Panel Firearms First Amendment First Derivative Traders Fishing Industry Fixing America’s Surface Transportation Act (FAST Act) FOIA Fokker Football Forced Labor Foreclosure Foreign Affiliates Foreign Currency Foreign Direct Investment Foreign Financial Accounts Foreign Narcotics Kingpin Sanctions Forensic Accounting Forfeiture Statutes Forgery Form 8-K Form SD Former Directors Former Employee Forum Non Conveniens Forum Selection Forum Selection Clause Fraudulent Charges Fraudulent Concealment Fraudulent Inducement FRB Freddie Mac Free Speech Freeze Order FSA FSOC FTC v Wyndham General Licenses General Motors General Solicitation Generic Drugs George Canellos Global Dealmaking Golf Good Faith Governor Cuomo Governor McDonnell Grand Juries Grand Theft Green Cards Guaranteed Introducing Brokers Guarantors Guidance Update Gun Control Act Haiti Halliburton v Erica P. John Fund Hana Financial v Hana Bank Hart-Scott-Rodino Act Harvard Law School