Penalties, SEC | JD Supra Law News

SDNY Imposes Second Highest Penalty Under Foreign Corrupt Practices Act

by Tenley Mochizuki, Emily Stern | Katten Muchin Rosenman LLP on 4/30/2013

The US District Court for the Southern District of New York recently ordered Uriel Sharef, a former Siemens AG board member and German citizen accused of bribing Argentine government officials, to pay a $275,000 civil penalty...more

Lessons Learned from the Parker Drilling DPA and Ralph Lauren NPA [Video]

by Thomas Fox on 4/25/2013

In the two most recent corporate Foreign Corrupt Practices Act (FCPA) enforcement actions, the Department of Justice (DOJ) and Securities and Exchange Commission (SEC) to communicate not only what they believe constitutes a...more

Actions Taken During A FCPA Enforcement Action - Lessons From Parker Drilling And Ralph Lauren

by Thomas Fox on 4/25/2013

In the two most recent corporate Foreign Corrupt Practices Act (FCPA) enforcement actions, the Department of Justice (DOJ) and Securities and Exchange Commission (SEC) to communicate not only what they believe constitutes a...more

Infobytes - A Weekly In-depth review of news & developments in the financial services industry - April 12, 2013

by BuckleySandler LLP on 4/15/2013

In This Issue: - FEDERAL ISSUES - STATE ISSUES - COURTS - FIRM NEWS - FIRM PUBLICATIONS - MORTGAGES - BANKING - CONSUMER FINANCE - SECURITIES - PRIVACY/DATA SECURITY - CRIMINAL...more

What Does Cooperation Buy You?

by Kiersten Fletcher, Brian Hoffman, Justin Hoogs, Carl Loewenson, Jr., Kayvan Sadeghi, Ruti Smithline | Morrison & Foerster LLP on 4/9/2013

Cooperation. The word is filled with meaning for enforcement professionals. The U.S. Securities and Exchange Commission and the U.S. Department of Justice profess to weigh it heavily when making charging and sanctioning...more

Government Issues New FCPA Guidance: $12,000 Birthday Party Not the Way to Go

by Yonaton Aronoff | Foley & Lardner LLP on 4/2/2013

Employers concerned about their organizations’ FCPA compliance have a new, free resource available to them. Recently, the DOJ and the SEC published a long-awaited FCPA guidance for employers. The comprehensive guidance...more

U.S. Supreme Court Rules That the Government Does Not Have an Unlimited Amount of Time in Which to Bring Civil Penalty Actions

by Kathleen Massey, Edward McDonald, Joshua Sherman | Dechert LLP on 3/1/2013

In a unanimous decision written by Chief Justice John G. Roberts, Jr., the United States Supreme Court has ruled that the Government does not have an unlimited amount of time to bring civil penalty actions based on fraud. In...more

Supreme Court in Gabelli: Clock Starts Ticking When Fraud Occurs, Not When It's Discovered

by Robert J. Anello | Morvillo Abramowitz Grand Iason & Anello P.C.... on 2/27/2013

The law requires the SEC to bring enforcement actions seeking penalties against individuals who violate the securities laws within five years. The Supreme Court issued a unanimous ruling today that rejects the SEC’s argument...more

"Supreme Court Rejects Discovery Rule on Statute of Limitations for SEC Civil Penalty Enforcement Actions"

by Jay Kasner, Matthew Matule, Edward Micheletti, Peter Morrison, Charles Smith | Skadden, Arps, Slate, Meagher & Flom LLP on 2/27/2013

Gabelli v. Sec. & Exch. Comm'n, No. 11-1274 (U.S. Feb. 27, 2013) - In a unanimous opinion authored by Chief Justice Roberts, the U.S. Supreme Court today held that the five-year limitations period that governs SEC...more

White Collar Watch - January 2013

by Andrea P. Brockway, Christopher R. Hall, Randall M. Lutz, Nicholas J. Nastasi, Christine Pickel, Brian Simons, Chad Williams III | Saul Ewing LLP on 1/23/2013

In This Issue: - Death and Taxes? Recent Supreme Court Arguments in Gabelli v. SEC Concerning a General Statute of Limitations for Civil Fines May Also Affect How Long the IRS Has to Assess Penalties - Avoiding...more

Insider Trading Annual Review - 2012

by Jordan Eth, Randall Fons, Joel Haims, Carl Loewenson, Jr. | Morrison & Foerster LLP on 1/18/2013

In This Issue: Overview Of Insider Trading Law; 2012 Enforcement activity; Galleon Update; Expert Network Cases; What Does Cooperation Buy You?; Global Trading, Global Enforcement; Legislative Reform; 10b5-1 Plans: Not...more

Stop! In The Name Of ... 28 U.S.C. §2462

by Blake Osborn, Frank Scaduto, Michael Tu | Orrick - Securities Litigation and Regulatory... on 1/15/2013

On January 8, 2013, the U.S. Supreme Court heard arguments in Gabelli v. Securities and Exchange Commission, No. 11-1274, concerning when the clock begins to run on the five-year statute of limitations for civil penalty...more

No Knowledge, but Hints of Omissions in the Allianz FCPA Settlement

by Mark Jensen, Matthew Riemer | Sheppard Mullin Richter & Hampton LLP on 1/10/2013

On December 17, 2012, the Securities and Exchange Commission (“SEC”) announced a settlement under the U.S. Foreign Corrupt Practices Act (“FCPA”) with Allianz SE (“Allianz”), the insurance company based in Germany, resulting...more

Former Hedge Fund Founder Ordered to Pay $5 Million for Securities Law Violations

by Michael S. Gordon, Elizabeth D. Langdale | Katten Muchin Rosenman LLP on 12/13/2012

The US District Court for the Southern District of New York recently ordered the investment adviser to two hedge funds, and its managing director, to pay nearly $5 million in disgorgement, prejudgment interest and civil...more

Financial Services Bulletin: Senate, CFTC, and Fed Action

by Perkins Coie on 8/2/2012

In This Issue: Bi-Partisan Senate Bill Proposed to Authorize Larger SEC Penalties; The CFTC Proposes New Ownership and Control Reports Rules and Forms; The Fed Adopts Final Debit Card Fraud-Prevention Adjustment Rule;...more

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Penalties › Securities & Exchange Commission

SDNY Imposes Second Highest Penalty Under Foreign Corrupt Practices Act

Lessons Learned from the Parker Drilling DPA and Ralph Lauren NPA [Video]

Actions Taken During A FCPA Enforcement Action - Lessons From Parker Drilling And Ralph Lauren

Infobytes - A Weekly In-depth review of news & developments in the financial services industry - April 12, 2013

What Does Cooperation Buy You?

Government Issues New FCPA Guidance: $12,000 Birthday Party Not the Way to Go

U.S. Supreme Court Rules That the Government Does Not Have an Unlimited Amount of Time in Which to Bring Civil Penalty Actions

Supreme Court in Gabelli: Clock Starts Ticking When Fraud Occurs, Not When It's Discovered

"Supreme Court Rejects Discovery Rule on Statute of Limitations for SEC Civil Penalty Enforcement Actions"

White Collar Watch - January 2013

Insider Trading Annual Review - 2012

Stop! In The Name Of ... 28 U.S.C. §2462

No Knowledge, but Hints of Omissions in the Allianz FCPA Settlement

Former Hedge Fund Founder Ordered to Pay $5 Million for Securities Law Violations

Financial Services Bulletin: Senate, CFTC, and Fed Action

Lessons Learned from the Parker Drilling DPA and Ralph Lauren NPA [Video]

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