Securities Criminal Law

SEC FCPA DOJ Compliance Enforcement Actions Insider Trading Enforcement Securities Fraud Criminal Prosecution Fraud Bribery FCPA Resource Guide Securities Anti-Corruption Illegal Tipping Deferred Prosecution Agreements Hedge Funds White Collar Crimes Material Nonpublic Information US v Newman CFTC Popular Chief Compliance Officers Settlement Personal Benefit Banks Portfolio Managers Corruption EU Whistleblowers Dodd-Frank Ponzi Scheme UK Broker-Dealer Investigations FINRA SCOTUS Securities Exchange Act China Foreign Official Non-Prosecution Agreements Internal Investigations Rule 10b-5 Investment Adviser Libor Money Laundering Due Diligence FinCEN Mary Jo White Misappropriation Penalties Securities Litigation Audits UK Bribery Act Indictments Wire Fraud Anti-Bribery Anti-Money Laundering Australia Ethics Market Manipulation Risk Assessment Appeals FBI Hong Kong Mortgages OFAC Bank Secrecy Act Canada Conspiracies Corporate Counsel FCA Investment Funds Statute of Limitations Strategic Enforcement Plan Bitcoins C-Suite Executives Extraterritoriality Rules Ralph Lauren Risk Management Swaps Bernie Madoff Class Action FDIC Fines Personal Liability Pharmaceutical Reporting Requirements RMBS SFO Virtual Currency Banking Sector Dell Federal Reserve Federal Sentencing Guidelines Financial Conduct Authority Foreign Banks Goldman Sachs High Frequency Trading JPMorgan Chase Oil & Gas Petition For Rehearing Sarbanes-Oxley Sentencing Avon Bank of America Books & Records Civil Monetary Penalty Disgorgement Employer Liability Issues Fannie Mae Internal Controls Jurisdiction Nvidia OCC PCAOB Raj Rajaratnam SAC Capital Board of Directors Breach of Duty CFPB Collateralized Debt Obligations Conflicts of Interest Corporate Governance Investors Judge Rakoff Mail Fraud Morgan Stanley Neither Admit Nor Deny Settlements Personal Jurisdiction Pharmaceutical Manufacturers Professional Liability RICO Sanctions Securities Act of 1933 Siemens Stocks Tax Evasion Administrative Hearings BIS Brokers Convictions Corporate Officers Eli Lilly Evidence False Statements FHFA Financial Institutions Financial Services Authority FIRREA Foreign Nationals Government Investigations Kickbacks Minimum Contacts Price Manipulation Shareholders Subsidiaries U.S. Treasury Wal-Mart Whistleblower Awards Anti-Retaliation Provisions Barclays Best Management Practices Citigroup Criminal Conspiracy Criminal Sanctions Cross-Border Data Protection Disclosure Requirements ESMA False Claims Act Fiduciary Duty Financial Regulatory Reform Foreign Subsidiaries Forfeiture FTC Fund Managers GlaxoSmithKline Investment Management JOBS Act Medical Devices Misrepresentation Mortgage-Backed Securities OECD Red Notices Section 10(b) Self-Reporting Short Sales Training UBS Voluntary Disclosure Admissions Arbitration Attorney's Fees Attorney-Client Privilege CFPOA Charitable Donations Corporate Gifts CPO Crowdfunding Customs D&O Insurance Derivatives eBay Email En Banc Review Federal Contractors Foreign Exchanges Foreign Jurisdictions Freddie Mac Healthcare Hewlett-Packard Issuers Janus Capital Group Liability Martoma Mergers Morrison v National Australia Bank NFA Proposed Legislation Rajat Gupta RBS Regulatory Agenda Remediation Rule 10(b) Security-Based Swaps Serious Fraud Office Sherman Act Spoofing Subpoenas Volcker Rule Wiretapping Acquisitions Allianz Basel Committee CEOs Civil Forfeiture Clawbacks Commodity Pool Conflict Mineral Rules Corporate Crimes Corporate Criminal Fines Corporate Culture Credit Ratings Custody Rule Cybersecurity Dark Pool Declination Directors Dismissals EB-5 European Banking Authority Export Controls Exports Facilitation Payments FATCA FCPA Guidance Federal Prosecutors Fifth Amendment Financial Crimes Financial Statements Foreign Corporations Forex Fraud-on-the-Market Gabelli v SEC Government Officials HSBC Identity Theft Instrumentality IPO Japan Magyar Telekom Mandatory Victim's Restitution Act Manufacturers Material Misstatements Medicare Municipal Bonds Obstruction of Justice OSC Patents Payday Loans Private Equity Prudential Regulation Authority Registration Registration Statement Retailers Rolls-Royce Russia SEC v Straub Silk Road Tender Offers Third-Party Trademarks Trust Preferred Securities U.S. Commerce Department Unregistered Securities US v Yates Visas Waivers Whistleblower Protection Policies 10b5-1 Plans Aerospace Aiding and Abetting Akamai Technologies Alstom Antitrust Investigations Athletes Attorney Generals Auditors Australian Securities and Investments Commission Automotive Industry Bad Actors Bank Fraud Banking Crisis Barack Obama Benchmarks Bid Rigging Big Law BitLicense BizJet Broken Windows BSA/AML Carter's Inc. Cease and Desist Certiorari Chevron Deference Choke Point Class Certification CME Cobalt Commercial Bankruptcy Commodities Confidential Information Consent Order Cooperation Initiative Corporate Fraud Credit Suisse Cyber Threats Data Breach Derivative Suit Destruction of Evidence Deutsche Bank DHS Direct Access Partners DOL Due Process EMIR Eric Holder Exchange-Traded Products Extradition Family Members Fee-Shifting Statutes Filing Requirements Financial Instruments Flash Crash Foreclosure Foreign Defendants Frozen Assets FSMA FTAIA Gambling GAO Goodyear Gun Laws Halliburton Healthcare Fraud Hospitals HUD IBM Illegal Imports Immigrants Income Taxes India Interest Rates Interstate Commerce Investment Firms Investment Fraud IRS Jury Verdicts Justice Scalia KPMG Latin America Liquidity Coverage Ratio Litigation Fees & Costs Litigation Strategies Loans Lying Mark Cuban Medicaid Mortgage Loan Originators Mortgage Servicing Rules Multinationals Municipal Securities Market NCUA NEP New Legislation No-Action Letters No-Action Relief NYSE Officers OIG Omnicare Omnicare v Laborers District Council Patriot Act PBSJ Corporation Petrobras Physicians Political Corruption Political Intelligence Prejudgment Interest Price-Fixing Proposed Amendments Publicly-Traded Companies Pump and Dump Qualcomm Qualified Mortgage Rule Rating Agencies Recordkeeping Requirements Red Flags Rule Regulatory Standards Remedies Residential Capital LLC Restitution Risk Mitigation Rule 506 Offerings Rule of Lenity S&P Saudi Arabia Scams SDN List SEC v Payton SEC v Sharef Selective Waivers Shareholder Litigation Steve Cohen STOCK Act Stock Promoters Stock Trades Stress Tests Subprime Mortgages Successor Liability Summary Judgment Supervision Supply Chain Swap Data Repositories Swap Dealers Tax Refunds Telecommunications TILA Trade Market Abuse Trade Secrets Trans-Pacific Partnership Travel Act Trustees Twitter Ukraine Wall Street "Garner Doctrine' Ability-to-Repay Acceptance of Responsibility Accounting Accounting Controls Acquittals Actual or Constructive Knowledge Administrative Authority Admissions of Liability Advertising Advisory Opinions AECA Africa Agency Deference Agents AIFMD AIM Aircraft Sales Alcoa Aleynikov Alien Tort Statute Ally Financial Inc America Invents Act Annual Assessments Annuities Antidumping Duties Antitrust Litigation Arbitration Agreements Arrest and Conviction Records Artificial Impairment Asia Asia Pacific Asset Freeze Asset Management ATMs Attorney Malpractice Auto Insurance Auto Manufacturers Automobile Recall Automotive Loans B&B Hardware v Hargis Industries Bank Holding Company Bank Holding Company Act Bank of England Bank of New York Mellon Benchmark Pricing Bids Billable Hours Billing Bio-Rad Laboratories Biofuel Biomet Biotechnology Bitcoin BNP Paribas BNY Mellon Bonds Brazil Brazilian Labor Act Breach of Trust Brokered Deposits Brucker Bruker Bucket Shop Law Building Permits Burden of Proof Business Development BVI Business Companies Capital Gains Capital Markets Capital Markets Stability Act Capital Requirements Cartels Casey Anthony Casinos Causation CEA Certifications CFDA Channel Check Chapter 7 Charles Schwab Churning Cinderella Schools Doctrine Cisco Citadel Citibank Claim Construction Claim Denial Letters Class Action Arbitration Waivers Clear Error Standard Clinical Laboratories Cloud Computing Code of Conduct College Athletes Collusion Commerzbank Commodities Exchange Act Commodity Futures Contracts Communists Community Reinvestment Act Complex Litigation Compliance Costs Conditional Gifts Confidential Documents Conflicts of Laws Congressional Investigations & Hearings Consideration Construction Industry Consultants Consultation Consumer Lenders Consumer Watchdog Contractors Controlled Foreign Corporations Cooperation Copyright Copyright Alert System Corporate Financing Corporate Fines Corporate Issuers Corporate Liability Corporate Social Responsibility Corporate Taxes Costco Countervailing Duties Countrywide Cramdown Credit Cards Crime and Courts Act Crime Victims Criminal Antitrust Litigation Criminal Defense Criminal Penalties Criminalization CSMAD CSRC CTA Cuba Currency Exchange Customs and Border Protection Cyber Attacks Dallas Airmotive Damages Data Collection De Minimis Claims De Novo Standard of Review Deadlines Debt Financing Debt Securities Defense Contracts Delaware General Corporation Law Deloitte Department of Financial Services Deposit Advances Derivatives Clearing Organizations Diamondback Capital Management Diebold Inc Digital Assets DirecTV v Imburgia Disciplinary Proceedings Discovery Discovery Rule Discussion Draft Dispute Resolution Disruptive Trading Practices Distributors Divorce DMO Document Productions Documentation Double Jeopardy DPA E-Commerce EDGAR Eighth Amendment Election Results Emissions Trading System End-Users Energy Energy Market Energy Policy Energy Projects Energy Sector Enforcement Attorneys ENI Entergy Environmental Crimes EPA Equal Protection Equity Markets Ericsson ERISA Ernst & Young EURIBOR Examiners Executive Compensation Executive Orders Extensions Extortion Exxon Mobil Facebook Failure to Act Fair Lending False Advertising Falsified Documents FATCA Timeline FATF FCRA FDA Federal Arbitration Act Federal Election Commission Federal Rules of Civil Procedure Federal Rules of Evidence Feeder Funds FERC Financial Institution Liability Financial Instruments and Exchange Act of Japan Financial Products Financial Services Act FINRA Hearing Panel First Amendment Fishing Industry FLIR System FOIA Forced Labor Foreign Affiliates Foreign Investment Foreign National Executives Forfeiture Statutes Form 10-K Form 8-K Form SD Former Employee Fourth Amendment Fraudulent Concealment Free Speech FSA FSIA FSOC FTC v Wyndham Futures GAAP General Electric General Motors General Solicitation Generic Drugs George Canellos Germany Global Dealmaking Golf Grand Juries Grand Theft Guaranteed Introducing Brokers Guidance Update Guilty Pleas Habeas Corpus Haiti Halliburton v Erica P. John Fund HAMP Hana Financial v Hana Bank Hardwood Plywood Harvard Law School Hazard Insurance Health Care Providers Hedging Heinz Hepplewhite Fund HHS HIPAA Hiring & Firing HKEx Holiday Gifts Hong Kong Stock Exchange Hospitality Industry Human Trafficking Hurricane Sandy ICE Illegal Arms Dealers Illegal Digital Downloads Illegal Drugs Immigrant Investment Visas Imports Indemnification Independent Boards Independent Counsel Individual Accountability Industry Examinations Information Reports Information Sharing Infrastructure Injunctive Relief Inspections Insurers Intellectual Property Litigation Inter Partes Review Proceedings Interest Income International Corruption Squad International Harmonization International Litigation International Tax Issues International Trade Agreements Investment Advisers Act of 1940 Investment Advisory Agreements Investment Companies Investment Schemes Investor Protection Iran Iran Sanctions ISPs ISS Issue Preclusion ITAR ITC iTraxx CDS indices Jamie Dimon Janet Napolitano Joint Plan of Action Joint Venture Journalism Jury Trial Justice Thomas Kraft Lanham Act Layering Layne Christensen Co Legal Perspectives Legislative Agendas Legislative Committees Lehman Brothers Lenders Lenny Breuer Level Global Leverage Ratio Liability Insurance Life Rights Life Sciences Liquidation Listing Standards Lobbying London Whale Major Swap Participants Mandatory Clearing Requirements Marital Assets Marital Communications Privilege Market Participants Market Recovery Mass Shootings McGraw Hill MDLEA Meal and Entertainment Expenditures Medtronic Memorandum of Understanding Mexico Micro Entity Status Microsoft Middle East MiFID Mineral Leases Minerals Mining Misleading Statements Mobile Apps Mobile Devices Mobile Payments Money Market Funds Money Services Business Money Transfer Money Transmission Act Montgomery v Lousiana Mortgage Loan Servicing Standards Motion to Compel Motion to Dismiss Motor Vehicles MSRB Municipal Employees Municipal Securities Issuers Mutual Funds Nasdaq NAV NCR Corp. Negotiations Net Investment Income New Regulations NHL NIST Non-Judicial Settlement Agreements Novum Securities NSA Occupational Fraud Off-Label Use Offerings Offshore Banks Offshore Companies Offshore Drilling Offshore Funds Ontario Securities Commission Opinion Letter Oppenheimer & Co. Opt-Outs Oracle OTCBB Otter Products OVDP Over-the-Counter Sales Parallel Claims Parent Corporation Parker Drilling Company Patent Infringement Patent Litigation Patent Reform Pay-To-Play Paying Bribes Payroll Taxes Penny Stocks Permanent Injunctions Personal Property Petition for Writ of Certiorari PetroTiger Pfizer Pharmaceutical Patents Pink Sheets Plea Negotiations Police Political Appointments Political Contributions Preemption Premiums Prepaid Payment Products Prescription Drugs Press Releases Pricewaterhousecoopers Prison Privacy-By-Design Private Funds Private Placements Private Property Proceeds of Crime Act 2002 (POCA) Promissory Notes Proof of Loss Proposed Regulation Prospectus Provincial Capital Markets Act Proxy Season Proxy Statements Prudential Prudential Standards Public Disclosure Public Nuisance Public Offerings Public Officials Putative Class Actions Pyramid Schemes Qatar Qui Tam Quid Pro Quo Racketeering Ranieri Partners Rare Earth Metals Ratings Reasonable Promotional Expenses Regulation Regulation FD Reinsurance Related Parties REMIT RESPA Responsible Corporate Officer Doctrine Responsible Person Liability Retaliation Reversal Reverse Mortgages Richard Cordray Right to Privacy Risk Retention Royal Bank of Scotland Royal Canadian Mounted Police Rule 105 Rule 404(b) Rule 608 Rulemaking Process Rupert Murdoch Safe Harbors Sales SAR SBM Offshore Scienter SCRA Sealed Records Search & Seizure SEC Comment Letter Process SEC v Citigroup Secretary of Defense Section 10(b)-5 Section 11 Section 16 Section 220 Request Section 5 of FTC Act Securitization SEFs Self-Dealing Self-Disclosure Requirements Self-Regulatory Organizations Sentencing Enhancements Settlements SFC Shadow Banking Shareholder Demands Shareholder Proposals Shareholder Rights Shell Corporations Shell Companies Shipping SIFMA Six Strikes Small Business Smith & Wesson Social Media Solar Energy Solar Panels Source Code South South Korea Sovereign Debt Split of Authority Sponsors Sports Stanford Ponzi Scheme State Regulators State-Owned Enterprises Statute of Repose Stern v Marshall Stop Order Strict Liability Student Loans Subordination Successors Sudan Suntech Suppliers Suspensions Suspicious Activity Reports