Securities Criminal Law

SEC FCPA DOJ Insider Trading Enforcement Actions Compliance Criminal Prosecution Securities Fraud Bribery Enforcement Personal Benefit Popular US v Newman Fraud Anti-Corruption Illegal Tipping UK White Collar Crimes SCOTUS Deferred Prosecution Agreements Securities CFTC US v Salman Material Nonpublic Information FCPA Resource Guide Hedge Funds Financial Conduct Authority (FCA) Whistleblowers Corruption Chief Compliance Officers Dirks v SEC FINRA China Indictments Misappropriation Dodd-Frank Money Laundering Securities Exchange Act EU Settlement Tippees Criminal Convictions Internal Investigations Tippers Wire Fraud Broker-Dealer Corporate Counsel Investment Adviser Disgorgement Confidential Information Anti-Money Laundering Non-Prosecution Agreements Spoofing Criminal Conspiracy Anti-Bribery Securities Litigation Appeals Banks Market Manipulation Portfolio Managers Libor Serious Fraud Office Guilty Pleas Ponzi Scheme Audits FinCEN Personal Liability Securities Violations Foreign Official Internal Controls Price Manipulation Statute of Limitations Yates Memorandum Australia Investigations Investment Funds Conflicts of Interest Cooperation Due Diligence Ethics OFAC Offering Fraud Breach of Duty Pharmaceutical Industry Rule 10b-5 Trump Administration UK Bribery Act Fiduciary Duty Hong Kong Mary Jo White C-Suite Executives Civil Monetary Penalty FBI Federal Sentencing Guidelines Government Investigations Penalties Bank Secrecy Act Bitcoin Canada Convictions Financial Institutions Misrepresentation Risk Assessment Voluntary Disclosure Banking Sector False Claims Act (FCA) Federal Pilot Programs Self-Reporting Virtual Currency Brazil Corporate Governance High Frequency Trading Reporting Requirements Risk Management Board of Directors Class Action Corporate Executives Cybersecurity False Statements JPMorgan Chase OECD Sentencing Corporate Crimes Corporate Misconduct Declination Export Controls Fines PCAOB Securities Act of 1933 Swaps Books & Records Conspiracies Corporate Officers European Securities and Markets Authority (ESMA) Oil & Gas Sanctions SFO Cross-Border Economic Sanctions Evidence Extraterritoriality Rules Forfeiture Hackers Individual Accountability Judge Rakoff Remediation RMBS Sarbanes-Oxley Shareholders Unregistered Securities Administrative Hearings Attorney-Client Privilege Brokers Commodities Criminal Investigations Dell Deutsche Bank Investors Kickbacks Kokesh v SEC Russia Section 10(b) Strategic Enforcement Plan Subsidiaries Suspicious Activity Reports (SARs) Whistleblower Awards Acquittals Barclays Employer Liability Issues Federal Reserve Financial Markets Foreign Banks Foreign Nationals Mail Fraud Martoma Morgan Stanley Municipal Bonds Nvidia Personal Jurisdiction Pump and Dump Ralph Lauren Siemens Stocks Ukraine Acquisitions Attorney Generals Avon Bank Fraud CEOs EB-5 Exports Fifth Amendment Financial Crimes Foreign Subsidiaries Goldman Sachs Iran Sanctions IRS Japan Jurisdiction Jury Verdicts Market Abuse Non-Public Information OCC Petition For Rehearing Raj Rajaratnam RICO Tax Evasion U.S. Treasury Whistleblower Protection Policies Asset Management Bank of America Commodities Exchange Act Disclosure Requirements Financial Regulatory Reform Fund Managers GlaxoSmithKline Investment Fraud Medical Devices Mergers Mortgages Neither Admit Nor Deny Settlements Public Comment Red Notices SAC Capital Security-Based Swaps Unregistered Brokers Alstom Arbitration Bernie Madoff BIS Blockchain CFPB CME Collateralized Debt Obligations Conflict Mineral Rules Criminal Penalties Crowdfunding D&O Insurance Data Breach Disruptive Trading Practices Eli Lilly Email Extradition FDIC Financial Services Industry Futures Government Officials Investment Advisers Act of 1940 JOBS Act MiFID II Minimum Contacts Obstruction of Justice Petrobras Private Equity Professional Liability Sanction Violations SDN List Singapore Telecommunications Tender Offers Teva Pharmaceuticals Training Venezuela Volcker Rule Wal-Mart Administrative Proceedings Admissions Algorithmic Trading Auditors Bank of New York (BNY) Mellon Best Management Practices Certiorari Citigroup Civil Forfeiture Corporate Culture Corporate Investigations CPO Criminal Sanctions Cyber Attacks Dark Pool Data Security Dismissals Due Process FATCA Federal Prosecutors Financial Fraud Financial Services Authority FIRREA Foreign Jurisdictions FSMA Hiring & Firing Incentives Investment Management Martin Shkreli Meals-Gifts-and Entertainment Rules Mens Rea Mexico Mortgage-Backed Securities NFA Proposed Legislation Prudential Regulation Authority Recordkeeping Requirements Rolls-Royce Securities Traders Senate Confirmation Hearings Short Sales STOCK Act Suspensions & Debarments Terrorism Funding Trade Secrets UK Brexit Wells Fargo Akamai Technologies AML/CFT Anti-Retaliation Provisions Asset Freeze Attorney's Fees Australian Securities and Investments Commission Basel Committee BlackRock Block Trades Bonds Capital Markets Cease and Desist Orders CFPOA Charitable Donations Code of Conduct Constitutional Challenges Corporate Fraud Custody Rule Customs Data Privacy Defense Contracts Department of Financial Services Derivatives En Banc Review Energy Sector ERISA Federal Contractors FinTech Forex FTC GAO Halliburton Hewlett-Packard Hong Kong Securities and Futures Commission (HKSFC) HSBC Human Resources Professionals India Jury Instructions Jury Trial Medicaid Medicare Motion to Dismiss Multinationals NAFTA Nasdaq New Legislation Ontario Securities Commission (OSC) Patents Patriot Act Permanent Injunctions Petition for Writ of Certiorari Policies and Procedures Presidential Appointments Proposed Regulation Public Officials Publicly-Traded Companies Qualcomm Quid Pro Quo Rajat Gupta RBS Regulatory Agenda Risk Mitigation Rule 10(b) Scienter Settlement Agreements Shell Corporations Sherman Act Special Relationship Subpoenas Theft Third-Party Third-Party Risk Transparency UBS Willful Misconduct Wiretapping World Bank Young Lawyers Aerospace Africa Aiding and Abetting ALJ Allianz Argentina Automotive Industry Bank Holding Company Benchmark Pricing Beneficial Owner BHP Billiton Broken Windows Burden of Proof Capital Gains Cherry Picking Clawbacks Commercial Bankruptcy Commodity Pool Compelled Testimony Cooperation Initiative Corporate Criminal Fines Corporate Fines Corporate Gifts Credit Suisse Criminal Defense Criminal Liability Currency Transaction Reports (CTR) Customer Due Diligence (CDD) Customer Identification Program (CIP) Czech Republic Data Protection Debt Securities Delaware General Corporation Law Derivative Suit Derivatives Clearing Organizations DHS Digital Currency Directors Disciplinary Proceedings Disclosure eBay EMIR Enforcement Statistics Espionage European Banking Authority Excessive Fees Executive Orders Facilitation Payments FATF FCPA Guidance Filing Requirements Financial Crisis Financial Instruments Financial Reporting Financial Statements Foreign Exchanges Foreign Investment Form 10-K Fourth Amendment France Fraud-on-the-Market Frozen Assets FTAIA GAAP Gabelli v SEC Gambling Germany Goodyear Healthcare IBM Income Taxes Indemnification Insider Information Instrumentality International Organization for Standardization Investment Firms IPO Janus Capital Group KPMG Kuwait Liquidity Loans Magyar Telekom Manufacturers Material Misstatements Materiality Memorandum of Understanding Mining Money Services Business Morrison v National Australia Bank Municipal Securities Market New Guidance No-Action Relief Novartis NYSE OCIE Pay-To-Play Penny Stocks Plea Agreements Political Intelligence Prejudgment Interest Price-Fixing Proposed Amendments Pyramid Schemes Ransomware Rating Agencies Registered Investment Advisors Registration Regulation SHO Regulatory Standards Restitution Retailers Retaliation Reversal Scams SEC v Straub Self-Disclosure Requirements Self-Incrimination Shareholder Litigation South Africa South Korea Split of Authority State-Owned Enterprises Stock Trades Stress Tests Successor Liability Swap Dealers Tax Fraud Terrorist Financing Regulations Third-Party Service Provider Trade Market Abuse Trademarks Trust Preferred Securities Trustees Twitter U.S. Commerce Department US v Yates Vacated Visas Waivers Work Product Privilege 10b5-1 Plans Accounting Administrative Resignation Aircraft Sales Airlines Alien Tort Statute Anonymity Antitrust Investigations Arms Export Control Act Asia Athletes Audit Committee Audit Reports Austria Bad Actors BaFin Bank Holding Company Act Banking Crisis Barack Obama Benchmarks Bid Rigging Bids Big Law Bio-Rad Laboratories Biofuel BizJet BSA/AML Business Continuity Plans Bylaws Capital Formation Capital Requirements Cease and Desist Certifications CFIUS CFOs Citibank CMS Commodities Traders Commodity Futures Contracts Consent Order Cooperation Agreement Corporate Liability Corporate Social Responsibility Corporations Code Counterparties Covered Financial Institutions Credit Ratings Criminal Procedure Criminal Records Cross-Border Transactions CSBS CTA Cuba Currency Exchange Customs and Border Protection Cyber Crimes Cyber Threats Damages Data Collection Defense Strategies Depositions Destruction of Evidence Direct Access Partners Discovery Distributed Ledger Technology (DLT) Documentation DOL DPA Electronic Blue Sheets Energy Market Equal Protection Ernst & Young EU Market Abuse Regulation (EU MAR) European Commission Exchange-Traded Products Executive Compensation Exemptions Expert Testimony Extortion Exxon Mobil Failure To Disclose Fair Lending Fake News False Advertising FCMs FDA Federal Rules of Civil Procedure Fédération Internationale de Football Association (FIFA) Fee-Shifting Fees FERC Final Rules Finland Flash Crash FLIR System Foreign Corporations Foreign Defendants Forum Selection Free Speech FSIA General-Business Gun Laws Habeas Corpus Haiti Health Care Providers Hitachi Hobbs Act Hong Kong Stock Exchange Hospitality Industry Hospitals Identity Theft Illegal Imports Immigrants Independent Counsel Industry Examinations Information Reports Information Sharing Initial Coin Offering (ICOs) Initial Public Offerings Injunctions Inspections Insurance Industry Intent International Litigation International Trade Internet Service Providers (ISPs) Interstate Commerce Investment Banks Investment Companies Investor Protection ISDA ISS ITAR Joint Venture Justice Scalia KBR (formerly Kellogg Brown & Root) Korea Lanham Act Latin America Legal Entities Liquidity Coverage Ratio London Whale Lying Malware Mandatory Victim's Restitution Act Margin Calls Margin Requirements Mark Cuban Market Access Rule Market Participants McDonnell v US Member State Merrill Lynch MiFID Misleading Statements Money Transfer Money Transmitter Mortgage Lenders Municipalities Mutual Funds New Regulations No-Action Letters Nortek NPRM Nu Skin NYDFS Offshore Drilling Olympics Omnicare Oppenheimer & Co. Panama Papers Parallel Claims Patent Infringement Pension Funds PetroTiger Physicians Political Corruption Prescription Drugs Press Releases Private Funds Private Placements Professional Misconduct Profits Promissory Notes Proxy Statements Public Disclosure Qui Tam Rabobank Rare Earth Metals Recidivism Registration Statement Regulation S-P REIT Remand Remedies REMIT Residential Capital LLC Retirement Plan Risk-Based Approaches Rule 506 Offerings S&P Sealed Records Search Warrant SEC v Payton SEC v Sharef Section 10(b)-5 Securities Act Selective Waivers Self-Dealing Senior Managers Shaw v United States Short Selling Silk Road SLUSA Sons And Daughters Sovereign Wealth Funds Spain Sports Statute of Repose Steve Cohen Stock Promoters Stop Order Subprime Mortgages Supervision Supply Chain Swap Data Repositories TARP Tax Deductions Tax Refunds Thailand TRACE Trans-Pacific Partnership Transparency International Travel Act U.S. Attorney Uber Underwriting Unfair or Deceptive Trade Practices United Airlines United Nations Upjohn Warnings VimpelCom Volkswagen Wall Street Warrantless Searches Whistleblower Hotlines WKSIs 401k Absolute Privilege Abuse of Discretion Abuse of Power Accomplice Liability Accounting Controls Accounting Fraud Actual or Constructive Knowledge Administrative Appointments Administrative Authority Administrative Procedure Act Advancement Advertising Advisory Opinions Advocate Health Care v Stapleton Agency Deference Agents Aggregation Rules AIFM AIFMD AIFs AIG AIM Airbus Aircraft Equipment Airports Alberta Securities Commission Alcoa Aleynikov Ally Financial Inc Alternative Investment Funds Alternative Trading Systems Amended Legislation Amended Regulation America Invents Act American Bar Association (ABA) 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 Apple v Samsung Appointments Clause Apportionment Arrest Article III Article of Manufacture Artificial Impairment Artificial Intelligence Asia Pacific Asset Valuations AstraZeneca Attorney Malpractice Auditor Independence AUSTRAC Auto Body Shop Auto Insurance Automated Systems Aviation Industry Balance Sheets Bangladesh Bank Fraud Act Bank of America v Miami Bank of England Basel III BATS Exchange Bear Sterns Benchmarking Benefit Plan Sponsors Best Practices Billable Hours Billing Biotechnology BitLicense BNP Paribas Boeing BP Breach of Contract Breach of Trust Bristol-Myers Squibb Broker Commissions Brokerage Accounts Brokered Deposits BRRD Bruker Business Conduct Standards Business Development BVI Business Companies Campbell Ewald v Gomez Canadian Securities Administration Capital Losses Capital One Carbon Emissions Cartels Casey Anthony Causation CBOE CEA Cell Phones Censorship Census CFDA Chamber of Commerce Chapter 7 Chevron Deference Chile Choke Point Church Plans Churning CIP Cisco Civil Investigation Demand Civil Liability Claim Construction Claim Denial Letters Class Certification Clean Companies Act Clear Error Standard Clearing Members Clinical Laboratories Cobalt Collateral Bars Collateral Estoppel College Athletes Collusion Color of Right Columbia Comment Period Commerzbank Common-Interest Privilege Community Reinvestment Act Competition Complex Litigation Compliance Costs Component Parts Doctrine Conditional Gifts Confidential Communications Conflicts of Laws Congressional Committees Congressional Intent Congressional Investigations & Hearings Consideration Construction Industry Consultants Consultation Consumer Credit Protection Consumer Lenders Consumer Watchdog Contract Drafting Contractors Controlled Foreign Corporations Controlled Substances COOs Copyright Copyright Alert System Corporate Financing Corporate Integrity Agreement Corporate Issuers Corporate Monitoring Corporate Structures Corporate Taxes Corporate Veil COSO Cost Allocation Costco Counter-Terrorist Countervailing Duties Covered Transactions Cramdown CRD IV Directive Credibility Crime Victims Criminal Antitrust Litigation Criminal Justice Act Criminalization Crisis Management Cryptocurrency CSRC Customer Funds Protection Cyber Incident Reporting Cyberforensics DACA DaimlerAG Dallas Airmotive DCMs De Minimis Claims De Novo Standard of Review Deadlines Debt Financing Deloitte Demand Futility Deposit Advances Design Patent Diebold Inc Dietz v Bouldin Digital Assets Digital Service Providers Discipline Discovery Rule Discussion Draft Dispute Resolution Disqualification Distribution Rules Distributors Dividends Divorce DMO Donald Trump Double Jeopardy DreamWorks Duncan v Owens Duty to Defend E-Commerce EAR EB-5 Regional Centers