Securities Criminal Law

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