Brian Hoffman

Holland & Hart LLP

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Latest Posts › Enforcement Actions

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Three Takeaways From Recent SEC Enforcement Case

The Securities and Exchange Commission (SEC) just announced a settled enforcement matter involving a public company and its CFO. (AP File No. 3-21438) The case presents three important takeaways for companies and...more

6/1/2023 / Corporate Counsel , Enforcement Actions , Internal Reporting , Material Misstatements , Retaliation , Securities and Exchange Commission (SEC) , Securities Fraud , Separation Agreement , Settlement , Whistleblowers

DOJ Announces Significant Changes to Corporate Criminal Enforcement Policies

On October 28, 2021, Deputy Attorney General Lisa Monaco issued a Memorandum entitled “Corporate Crime Advisory Group and Initial Revisions to Corporate Criminal Enforcement Policies,” which she explained the same day in her...more

11/10/2021 / Compliance , Corrective Actions , Deferred Prosecution Agreements , Department of Justice (DOJ) , Enforcement Actions , Non-Prosecution Agreements , White Collar Crimes , Yates Memorandum

No "Pandemic Pass" – Regulators Remain Focused on Financial Reporting, Disclosure, and Auditing Enforcement

Despite COVID-19 and concurrent situations, recent releases from the U.S. Securities and Exchange Commission (SEC) and Public Company Accounting Oversight Board (PCAOB) demonstrate their keen focus on financial reporting,...more

4/13/2020 / Coronavirus/COVID-19 , Corporate Issuers , Disclosure Requirements , Enforcement Actions , Financial Reporting , Internal Controls , PCAOB , Reporting Requirements , Securities and Exchange Commission (SEC) , Securities Violations

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