Securities Finance & Banking Criminal Law

SEC Enforcement Actions Insider Trading Criminal Prosecution DOJ Securities Fraud FCPA Compliance Fraud Enforcement CFTC UK Securities Bribery Popular White Collar Crimes Financial Conduct Authority (FCA) Hedge Funds Illegal Tipping US v Newman FINRA Material Nonpublic Information Banks Libor Anti-Corruption EU Investment Adviser Chief Compliance Officers Personal Benefit Deferred Prosecution Agreements Market Manipulation Anti-Money Laundering Broker-Dealer Misappropriation Dodd-Frank Indictments Investment Funds Money Laundering Securities Exchange Act Wire Fraud FinCEN Ponzi Scheme Whistleblowers Corruption Portfolio Managers Serious Fraud Office Banking Sector Internal Investigations Bank Secrecy Act China SCOTUS Conflicts of Interest Australia Rule 10b-5 Securities Litigation Spoofing Criminal Conspiracy Financial Institutions Virtual Currency Bitcoin Convictions Hong Kong Investigations UK Bribery Act Appeals Audits C-Suite Executives Government Investigations JPMorgan Chase Mary Jo White Non-Prosecution Agreements Price Manipulation Settlement Swaps Administrative Hearings Conspiracies Disgorgement Ethics European Securities and Markets Authority (ESMA) Risk Management Sanctions Self-Reporting False Statements Federal Reserve Internal Controls Misrepresentation Morgan Stanley Mortgage-Backed Securities Offering Fraud PCAOB Reporting Requirements Risk Assessment Section 10(b) Sentencing SFO U.S. Treasury Anti-Bribery Bernie Madoff Breach of Duty Civil Monetary Penalty Cooperation Corporate Counsel Dell Deutsche Bank Due Diligence FBI Federal Sentencing Guidelines Guilty Pleas Mortgages Municipal Bonds OCC Personal Liability RMBS Strategic Enforcement Plan Suspicious Activity Reports Bank of America Citigroup Class Action Collateralized Debt Obligations Confidential Information Corporate Governance Cybersecurity Extraterritoriality Rules FDIC Financial Regulatory Reform Foreign Banks Individual Accountability Investors JOBS Act Judge Rakoff Kickbacks Mail Fraud Nvidia OFAC Pump and Dump Shareholders Statute of Limitations Tax Evasion UBS Unregistered Securities Yates Memorandum Bank Fraud Barclays Books & Records Brokers Canada Corporate Crimes Crowdfunding Dark Pool Disclosure Requirements Disruptive Trading Practices Federal Pilot Programs Fines Foreign Nationals Foreign Official FSMA High Frequency Trading Market Abuse Meals-Gifts-and Entertainment Rules Mens Rea Obstruction of Justice Penalties Personal Jurisdiction Private Equity Securities Act of 1933 Stocks Anti-Retaliation Provisions Best Management Practices Clawbacks CME Commodities Corporate Fraud Corporate Officers CPO Declination Derivatives EB-5 Evidence False Claims Act (FCA) FCPA Resource Guide Fiduciary Duty Financial Services Authority FIRREA Forex Forfeiture Fund Managers HSBC Investment Advisers Act of 1940 IRS Minimum Contacts NFA Oil & Gas Prudential Regulation Authority RBS RICO Rule 10(b) Sarbanes-Oxley Security-Based Swaps Shell Corporations Siemens Terrorism Funding Unregistered Brokers Volcker Rule Voluntary Disclosure Acquittals Admissions Akamai Technologies Algorithmic Trading Alstom Arbitration Asset Freeze Asset Management Attorney-Client Privilege Avon Bank Holding Company Bank of New York (BNY) Mellon Basel Committee Benchmark Pricing Board of Directors Capital Gains Capital Markets CFPB Commodity Pool Criminal Penalties Criminal Sanctions Currency Transaction Reports (CTR) Custody Rule Department of Financial Services Dismissals Email FATCA FHFA Financial Crisis Financial Markets Foreign Exchanges Foreign Subsidiaries Frozen Assets Goldman Sachs Hackers Investment Fraud Investment Management Janus Capital Group Jury Verdicts No-Action Relief OECD Pharmaceutical Industry Raj Rajaratnam Rating Agencies Recordkeeping Requirements Registered Investment Advisors Regulatory Standards Remediation Risk Mitigation Russia Short Sales State-Owned Enterprises Stress Tests Tender Offers Tippees Trust Preferred Securities Trustees US v Salman Venezuela Waivers Wells Fargo Whistleblower Awards Wiretapping Aiding and Abetting Anonymity Attorney Generals Attorney's Fees Bad Actors BaFin Bank Holding Company Act Banking Crisis Beneficial Owner BHP Billiton Big Law Bonds Brazil Business Continuity Plans Certiorari Cherry Picking Commodity Futures Contracts Conflict Mineral Rules Corporate Culture Corporate Liability Corporate Misconduct Covered Financial Institutions Credit Ratings Credit Suisse Criminal Investigations Criminal Liability Cross-Border Currency Exchange Customer Due Diligence (CDD) Customer Identification Program (CIP) Cyber Attacks Data Breach Data Collection Data Protection Data Security Derivatives Clearing Organizations Direct Access Partners Electronic Blue Sheets EMIR Employer Liability Issues Eric Holder Ernst & Young EU Market Abuse Regulation (EU MAR) European Banking Authority European Commission Exchange-Traded Products Export Controls Extradition Facilitation Payments False Advertising FATF FCMs Federal Prosecutors Fee-Shifting Fifth Amendment Final Rules Financial Crimes Financial Instruments Financial Statements Flash Crash Foreign Investment Form 10-K Fourth Amendment Futures Gabelli v SEC Gambling Germany GlaxoSmithKline Government Officials Hong Kong Securities and Futures Commission (HKSFC) Identity Theft Income Taxes Industry Examinations Inspections Insurance Industry Intent Investment Firms IPO Iran Sanctions Japan Jury Instructions Jury Trial Justice Scalia KPMG Latin America Legal Entities Lehman Brothers Liquidity Coverage Ratio Loans Lying Magyar Telekom Mandatory Victim's Restitution Act Margin Calls Market Participants Martin Shkreli Martoma Material Misstatements Member State Memorandum of Understanding Money Services Business Morrison v National Australia Bank Mortgage Lenders Motion to Dismiss Multinationals Municipal Securities Market Mutual Funds Nasdaq Neither Admit Nor Deny Settlements New Regulations No-Action Letters Nortek Novartis NPRM OCIE Oppenheimer & Co. Patriot Act Permanent Injunctions Petition for Writ of Certiorari Petrobras Private Funds Private Placements Professional Liability Proposed Amendments Proposed Legislation Proposed Regulation Public Comment Public Disclosure Public Officials Qui Tam Quid Pro Quo Recidivism Red Notices Registration Regulatory Agenda Residential Capital LLC Restitution Retailers Reversal Risk-Based Approaches Royal Bank of Scotland Rule 506 Offerings S&P SAC Capital Scams Scienter Sealed Records SEC v Straub Settlement Agreements Shareholder Litigation Silk Road South Korea Split of Authority Sports Subprime Mortgages Swap Dealers Tax Refunds Third-Party Risk Third-Party Service Provider Too Big to Fail Trade Market Abuse Transparency Underwriting Visas Wal-Mart Wall Street Warrantless Searches Whistleblower Protection Policies Willful Misconduct 10b5-1 Plans Absolute Privilege Abuse of Power Accomplice Liability Accounting Controls Accounting Fraud Acquisitions Actual or Constructive Knowledge Administrative Authority Administrative Proceedings Advertising Aerospace Agency Deference AIFMD AIM Aircraft Sales Ally Financial Inc Amended Regulation AML-CTF Analytics Annuities Annunzio-Wylie Anti-Money Laundering Act Anti-Terrorism Financing Antitrust Division Antitrust Investigations Argentina Arms Export Control Act Artificial Impairment Asia Asia Pacific Asset Valuations Athletes Attorney Malpractice Auditors Australian Securities and Investments Commission Auto Body Shop Auto Insurance Automotive Loans Bank Fraud Act Bank of England Barack Obama BATS Exchange Benchmarks Bid Rigging Bids Billable Hours Bio-Rad Laboratories Biofuel BitLicense BizJet BlackRock Block Trades Bristol-Myers Squibb Broken Windows Broker Commissions Brokered Deposits BRRD BSA/AML Burden of Proof Capital Losses Capital One Capital Requirements Cartels Casey Anthony Causation CBOE CEA Cease and Desist Orders Certifications CFDA CFOs CFPOA Chapter 7 Charles Schwab Chevron Deference Choke Point CIP Citibank Claim Construction Class Certification Clear Error Standard Clearing Members Code of Conduct Collusion Color of Right Comment Period Commercial Bankruptcy Commerzbank Commodities Exchange Act Common-Interest Privilege Community Reinvestment Act Complex Litigation Compliance Costs Conflicts of Laws Congressional Committees Congressional Investigations & Hearings Consent Order Consideration Consumer Lenders Cooperation Agreement Cooperation Initiative Corporate Criminal Fines Corporate Executives Corporate Fines Corporate Gifts Corporate Issuers Corporate Taxes Corporate Veil Cost Allocation Counter-Terrorist Countrywide Cramdown CRD IV Directive Crime Victims Criminal Defense Criminal Procedure Criminal Records Crisis Management Cross-Border Transactions CSRC CTA Customer Funds Protection Cyber Crimes Cyber Incident Reporting Cyber Threats Cyberforensics D&O Insurance DaimlerAG Damages Data Privacy De Minimis Claims De Novo Standard of Review Deadlines Debt Financing Debt Securities Delaware General Corporation Law Deloitte Demand Futility Deposit Advances Derivative Suit Destruction of Evidence DHS Diebold Inc Digital Assets Directors Dirks v SEC Disciplinary Proceedings Disclosure Discussion Draft Disqualification Distribution Rules Dividends Divorce DMO Documentation DOL Due Process E-Commerce EB-5 Regional Centers EBA Economic Sanctions EEA EFRP EFTs Egypt Election Results Electronics Elizabeth Warren Emissions Trading System End-Users Energy Energy Exploration Energy Market Enron Equal Protection Equity Markets ERISA EURIBOR Examiners Excessive Fees Executive Compensation Extensions Extortion Facebook Failure To Disclose Fair Lending Falsified Documents Fannie Mae FATCA Timeline FDA Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015 Federal Contractors Federal Election Commission (FEC) Federal Jurisdiction Federal Rules of Civil Procedure Feeder Funds Fees FERC FIFA Financial Products Financial Reporting Financial Restatements Financial Sector Financial Services Act Financial Services Industry Firearms First Amendment First Derivative Traders Fishing Industry Fixing America’s Surface Transportation Act (FAST Act) FLIR System Fokker Football Foreign Affiliates Foreign Currency Foreign Defendants Foreign Direct Investment Foreign Financial Accounts Foreign Jurisdictions Forgery Form SD Former Employee Forum Selection Clause Fraud-on-the-Market Fraudulent Charges Fraudulent Concealment Fraudulent Inducement Freddie Mac FSA FSOC GAO General Electric General Motors General Solicitation George Canellos Global Dealmaking Goodyear Governor Cuomo Governor McDonnell Grand Juries Grand Theft Green Cards Guaranteed Introducing Brokers Guidance Update Gun Laws Habeas Corpus Haiti Health Net Healthcare Fraud Hedging Hewlett-Packard Hillary Clinton Hilton Hitachi HKEx Hobbs Act Hong Kong Stock Exchange HUD IBM ICE Illegal Imports Immigrant Investment Visas Immigrant Investor Program Immigrants Independent Counsel India Inducement Information Security Information Sharing Infrastructure Injunctive Relief Insider Information Insolvency Interest Rate Adjustments International Litigation Interstate Commerce Investment Advisory Agreements Investment Banks Investment Schemes Investor Protection ISDA ISDAfix ITAR iTraxx CDS indices Jamie Dimon Job Creation Johnson & Johnson Joint Venture Jurisdiction KBR (formerly Kellogg Brown & Root) Know Your Customers Kuwait Law Enforcement Legal Advice Privilege Legal Perspectives Legislative Agendas Leverage Ratio Liability Insurance Liquidation Liquidity Listing Standards London Whale Major Swap Participants Mandatory Clearing Requirements Marital Assets Marital Communications Privilege Markups Mass Shootings Match Fixing Materiality McDonnell v US McGraw Hill Medicaid Medical Devices Medicare Mergers Merrill Lynch MetLife MF Global Micro Entity Status MiFID MiFID II Mineral Leases Mining Misleading Statements Money Market Funds Money Transfer Monsanto MSRB Municipal Advisers Municipal Employees NAV NCUA Negligent Misrepresentation Negotiations NEP Net Investment Income New Guidance New Legislation NHL Non-Resident Aliens NSA NYDFS NYSE Ocasio v United States Offering Statements Offerings Official Act Offshore Companies Olympics Omnicare Ontario Securities Commission (OSC) Opinion Letter Opt-Outs Over-the-Counter Sales Panama Papers Patent Litigation Patents Pay-To-Play Payday Loans Penny Stocks Pension Funds Personal Property Personally Identifiable Information Petition For Rehearing Pharmaceutical Patents Policies and Procedures Political Appointments Political Contributions Political Corruption Portfolio Companies Prejudgment Interest Price-Fixing PricewaterhouseCoopers Prison Private Property Private Utility Privileged Documents Probable Cause Proceeds of Crime Act 2002 (POCA) Professional Misconduct Professional Negligence Profits Promissory Notes Proof of Loss Prospectus Provincial Capital Markets Act Proxy Season Proxy Statements Prudential Prudential Standards Public Corruption Public Offerings Publicly-Traded Companies Pyramid Schemes Qualcomm Qualified Mortgage Rule Rabobank Rajat Gupta Ralph Lauren Ranieri Partners Rare Earth Metals Ratings Red Flags Rule Registration Requirement Registration Statement Regulation Regulation AT Regulation FD Regulation S-P Regulation SHO REIT Related Parties Remedies REMIT RESPA Responsible Corporate Officer Doctrine Retaliation Retirement Plan Right to Privacy Ripple Risk Retention Royal Canadian Mounted Police Rule 11 Rule of Lenity Rulemaking Process Sales SEC v Citigroup SEC v Sharef Section 10(b)-5 Securities Regulation Securities Traders Securities Violations Securitization Security Risk Assessments SEFs Self-Dealing Self-Disclosure Requirements Self-Regulatory Organizations Senior Managers Senior Managers Insurers Regime (SMIR) Sentencing Enhancements Serbia Settlements Shadow Banking Shareholder Proposals Shareholder Rights Shaw v United States Shell Oil Short Selling SIFMA SMEs Soccer Social Media Solar Energy Sovereign Debt Stanford Ponzi Scheme Stark Law State Farm Fire and Casualty Co v United States ex rel Rigsby State Regulators State Street Statute of Repose Stern v Marshall STOCK Act Stock Markets Stock Options Stock Promoters Stock Trades Stop Order Strike Subordination Subpoenas Subsidiaries Successors Summary Judgment Supervision Suppliers Supply Chain Suspensions Suspensions & Debarments Swap Data Repositories Swiss Banks Tax Court Tax Deductions Tax Fraud Tax Liability Terrorist Financing Regulations Teva v Sandoz Thailand Theft Tippers Tolling Tom Hayes Tone At The Top TPPPs Trade Secrets Trade-Based Money Laundering Trading Platforms Training Training Requirements Transaction Fees Transfers Travel Act Trials Tribunals Truth in Lending Act (TILA) Turkey Twitter Twombly/Iqbal Pleading Standard UK Brexit UK Supreme Court Unauthorized Disclosure Unicorns Unjust Enrichment Upjohn Warnings US v Yates USCIS USML Value-Added Tax Variable Insurance Vendors Volkswagen Ways and Means Committee Whistleblower Hotlines WKSIs Work Product Privilege World Cup Young Lawyers