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White Collar Watch - January 2014

In This Issue: - SEC’s Dodd-Frank Whistleblower Program Report shows best practices make for an effective compliance and ethics program - In unprecedented move, government seeks to extend the responsible...more

U.S. Securities & Exchange Commission Charges Bank of America With Fraud in RMBS Offering

SEC Charges Bank of America With Fraud in RMBS Offering FOR IMMEDIATE RELEASE Washington D.C., Aug. 6, 2013 The Securities and Exchange Commission today charged Bank of America and two subsidiaries with defrauding...more

USCIS and SEC Stakeholder Engagement: EB-5 Investments and Implications under Federal Securities Law

By Wassem M. Amin, Esq. On April 3, 2013, USCIS and the SEC held a joint conference call to discuss what aspects of federal securities law are implicated by EB-5 Investments, as it relates to both the issuer and the...more

WHISTLEBLOWER: WELLS FARGO FABRICATED AND ALTERED MORTGAGE DOCUMENTS ON A MASS BASIS

Thursday, March 7, 2013 WHISTLEBLOWER: WELLS FARGO FABRICATED AND ALTERED MORTGAGE DOCUMENTS ON A MASS BASIS Over the last two and a half years, Wells Fargo, like most of the major mortgage servicers, claimed that it had a...more

InfoBytes, July 13, 2012 - A Weekly In-depth review of news & developments in the financial services industry.

TOPICS IN THIS ISSUE: - MORTGAGES - BANKING - CONSUMER FINANCE – SECURITIES - E-COMMERCE - PRIVACY/DATA - SECURITY - CRIMINAL ENFORCEMENT Excerpt From Federal Issues: FEDERAL ISSUES CFPB Proposes Two...more

InfoBytes, November 18, 2011 - A Weekly In-depth review of news & developments in the financial services industry

Topics In This Issue: • Federal Issues • State Issues • Courts • Firm News • Firm Publications • Mortgages • Consumer Finance • Securities • Litigation • Criminal Enforcement Action Excerpt from...more

InfoBytes, September 9, 2011 - A Weekly In-depth review of news & developments in the financial services industry

In This Issue: • Federal Issues • Courts • Miscellany • Firm News • Mortgages • Consumer Finance • Securities • Litigation • Criminal Enforcement Action Excerpt from Criminal Enforcement...more

Crowdfunding and Mc Henry's Own Reg D Fraud

“Crowdfunding,” a job-creation panacea-of-the-month buzzword, is being peddled under the Entrepreneur Access to Capital Act (H.R. 2930) and extolled by Rep. Patrick McHenry (R-N.C.) as having “very strong investor...more

Whistleblower Must Provide Information to the SEC to State a Retaliation Claim Under Dodd-Frank

A New York federal district court recently ruled that, with limited statutorily defined exceptions, a whistleblower asserting private relation claims under the Dodd-Frank Wall Street Reform and Consumer Protection Act must...more

SEC’s Proposed Whistleblower Rules Will Eviscerate Compliance Programs

Last month, I wrote about California’s whistleblower hotline in this post. In early November, the Securities and Exchange Commission issued proposed rules for implementing the whistleblower provisions of Section 21F of the...more

SEC Issues Proposed Rules for Whistleblower Program under Dodd-Frank Act

On November 3, the Securities and Exchange Commission issued proposed rules for implementing the whistleblower provisions added to Section 21F of the Securities Exchange Act of 1934 by the Dodd-Frank Wall Street Reform and...more

SEC to Propose Whistleblower Incentive Rules

The Dodd-Frank Wall Street Reform and Consumer Protection Act added Section 21F to the Securities Exchange Act of 1934. Section 21F mandates that the Securities and Exchange Commission, pursuant to regulations prescribed by...more

Dodd-Frank Financial Reform Act

In reviewing the recently enacted Dodd-Frank Wall Street Reform and Consumer Protection Act (the Dodd-Frank Act), we found two very different sections worthy of brief note. *Small Issuers exempted from auditor certificates...more

White Collar Defense Alert: Criminal Provisions in the Wall Street Reform Act

Today, the Senate passed, by a 60-39 vote, new financial reform legislation that includes a number of new criminal provisions that impact the derivatives market, secondary swaps and commodity swaps, ratings agencies,...more

Customer Due Diligence - CDD - as an Instrument For Combating Financial Crimes in Nigeria

The essay in exposing the damage caused by money laundering at national and global levels, highlights the importance of customer due diligence (CDD), an anti money laundering (AML) measure, in tackling financial crimes like...more

Federal Regulators & Prosecutors Ramp Up Resources in the Mortgage Fraud Arena

Continuing its aggressive post-Enron investigation of white-collar crime, the federal government has trained its sites on the mortgage financing industry. For example, the FBI recently announced: “The FBI views mortgage fraud...more

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