Section 753 of the Dodd-Frank Act added a new section to the Commodity Exchange Act to make it unlawful “for any person to make any false or misleading statement of a material fact to the Commission … or to omit to state in...more
According to a recent case, a witness in a Commodity Futures Trading Commission (CFTC) investigation could be similarly condemned to oblivion – or at least enforcement action and a hefty fine – for giving false testimony,...more
The SEC is taking a number of bold steps to promote the importance of compliance. The SEC already offers companies meaningful compliance carrots as part of its cooperation program, and other enforcement initiatives including...more
Pressure to convict, emotional attachment to cases and an obsession to see justice delivered whatever the costs, can lead to cover-ups and shortcuts in compiling a case against suspected criminals....more
In one of the most high-profile cases of its time, Martha Stewart was convicted of obstructing justice as a result of her intentional misrepresentation to Securities and Exchange Commission and FBI investigators regarding the...more
Sometimes, cases that seem like a no-brainer are anything but. Just ask the Town of Stratford which finally won an appeal to the Connecticut Appellate Court.
The case, Stratford v. American Federation of State, County...more