PLI's inSecurities Podcast - Opening the Securities Enforcement Answer Book
PLI's inSecurities Podcast: A View From the Inside
Compliance Perspectives: Compliance Challenges in India
Nota Bene Episode 83: Fraud Enforcement and Policing COVID Relief: What Businesses Need to Know with Chuck Kreindler
COVID-19 Videocast Series – Episode 2: Conversations from Our Public Tech Company Virtual Situation Room
Podcast: Private Fund Regulatory Update: Post-U.S. Government Shutdown
Podcast: Credit Funds: What Managers Need to Know and Practical Tips to Avoid Insider Trading Risks
WORD OF THE DAY® – Big Boy Letter
The Insider Trading Cartoon Series, Vol. 15 -- United States v. Newman (Part 2)
The Insider Trading Cartoon Series, Vol. 13 -- The Barry Switzer Story
The Insider Trading Cartoon Series, Vol. 14 -- United States v. Newman (Part 1)
The Insider Trading Cartoon Series, Vol. XII -- The Innocent Intermediary
The Insider Trading Cartoon Series, Vol. XI -- Multi-level Tipping
The Insider Trading Cartoon Series, Vol. X -- Tipping (pre-Newman)
The Insider Trading Cartoon Series, Vol. VIII — Negligence?
The Insider Trading Cartoon Series Vol. VII -- Misappropriation Theory (Part the Third)
The Insider Trading Cartoon Series, Vol. V — Misappropriation Theory
Investment Management Update - January 2015
Insider Trading News - Ralph Siciliano discusses US v. Newman
Weekly Brief: Rakoff Orders Gupta To Pay Goldman Sachs' Legal Fees
In 2023, the number of federal corporate prosecutions remained far below the 25-year average after two consecutive years of increases. ..The DOJ’s Fraud Section secured just $690 million in penalties across eight...more
The European Central Bank and the European Banking Authority have published a joint report on payment fraud data. The report assesses payment fraud reported by the industry across the EEA and covers semi-annual data reported...more
Dick’s Sporting Goods Inc. and a man who claims he suffered permanent eye damage because of a defective golf practice net bought from the company are asking a Georgia federal judge to keep his litigation on hold while they...more
People who work on Wall Street come into contact with important information all the time. Sometimes, though, that information indicates that a major corporation or company is breaking the law. If this happens to you, you have...more
Each month, we publish a roundup of the most important SEC enforcement developments for busy in-house lawyers and compliance professionals. This month, we examine: •The permanent suspension of an audit firm and its owner for...more
The government prosecutes insider trading against insiders who convey material nonpublic information (“tippers”) and outsiders who acquire material nonpublic information (“tippees”) through two avenues: civil proceedings...more
The Securities and Exchange Commission obtained a victory in a closely-watched trial when a jury found Matthew Panuwat liable for insider trading based on a “shadow trading” theory. The jury’s verdict, as well as increased...more
Welcome to Saul Ewing’s Public Companies Quarterly Update series. Our intent is to, on a quarterly basis, highlight important legal developments of which we think public companies should be aware. This edition is related to...more
The Nutter Securities Enforcement Update is a periodic update of noteworthy recent securities enforcement activity, settlements, decisions, and charges. We provide brief summaries that highlight recent enforcement action...more
The Nutter Securities Enforcement Update is a periodic summary of noteworthy recent securities enforcement activity, settlements, decisions, and charges....more
On December 14, 2023, the Commodity Futures Trading Commission (“CFTC”) and Department of Justice (“DOJ”) Fraud Section announced the settlement of insider trading fraud charges and Foreign Corrupt Practices Act (“FCPA”)...more
Federal and state regulators have taken an increased interest in regulating cryptocurrencies, digital assets, and the larger blockchain ecosystem. This landscape is opaque and rapidly evolving, and many industry participants...more
The International Organization of Securities Commissions, or IOSCO, published a consultation report in May titled "Policy Recommendations for Crypto and Digital Asset Markets." Originally published by Law360 - July 11,...more
On May 3, 2023, a jury found Nathaniel Chastain, a former manager of OpenSea (a major NFT marketplace), guilty of wire fraud and money laundering in connection with his attempts to conceal his use of confidential business...more
On March 1, 2023, the U.S. Department of Justice (DOJ) unsealed an indictment against the CEO of a publicly traded healthcare company (the Executive) relating to charges of an insider trading scheme. The indictment represents...more
A divided panel of the U.S. Court of Appeals for the Second Circuit held, on December 27, 2022, in United States v. Blaszczak (“Blaszczak II”) that an agency’s confidential, pre-decisional information did not count as...more
In recent years, the U.S. Supreme Court has narrowed the scope of various federal criminal fraud statutes. For example, in McDonnell v. United States, the Court overturned the honest services fraud conviction of the former...more
On November 15, the Securities and Exchange Commission (the SEC) released its summary of enforcement actions brought during the 2022 fiscal year, announcing that in 2022 the SEC filed 760 enforcement actions and recovered an...more
Find Out What Companies and Investment Firms Need to Know about the SEC’s Exam Priorities for 2023 - Each year, the U.S. Securities and Exchange Commission (SEC) publishes its annual examination priorities. This report...more
SEC Division of Enforcement Director Gurbir Grewal and several high-ranking officials from the U.S. Attorney’s Offices for the Southern and Eastern Districts of New York and the FBI spoke on November 29, 2022 at a conference...more
We previously blogged about the NFT insider trading case against Nathaniel Chastain. He was charged with wire fraud and money laundering in connection with a scheme to commit “insider trading” in Non-Fungible Tokens (“NFTs”)...more
The recent OpenSea insider trading case emphasizes the need for businesses in the digital assets industry to stay abreast of the fast-changing legal landscape surrounding their industry, and also emphasizes that new digital...more
This summer, the U.S. Attorney’s Office for the Southern District of New York broke new ground in its oversight of fraud involving digital assets when it brought charges against Nathaniel Chastain related to an insider...more
Recently, in SEC v. Spartan Securities Group, Ltd, et al., a Florida federal court held that the Securities and Exchange Commission (“SEC”) could seek disgorgement and direct funds to the Treasury because the defrauded...more
The Nutter Securities Enforcement Update is a periodic summary of noteworthy recent securities enforcement activity, settlements, decisions, and charges. ...more