On Sept. 5, the SEC announced the formation of a new Cross-Border Task Force to combat international market manipulation and fraud. The SEC said the task force will focus initially on investigating potential U.S. federal...more
9/19/2025
/ Auditors ,
Capital Markets ,
Cross-Border ,
Cross-Border Transactions ,
Department of Justice (DOJ) ,
Enforcement Actions ,
Foreign Corporations ,
Foreign Corrupt Practices Act (FCPA) ,
Foreign Entities ,
Investigations ,
Market Manipulation ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Securities Regulation
The Northern District of California Views From the Top: Hot Issues & Trends in White Collar, Securities & Antitrust Enforcement event on Sept. 4 provided an invaluable and uncharacteristically candid look at the priorities...more
9/11/2025
/ Antitrust Division ,
Antitrust Violations ,
Cryptocurrency ,
Department of Justice (DOJ) ,
Enforcement Priorities ,
Fraud ,
Intellectual Property Protection ,
Investor Protection ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Securities Regulation ,
U.S. Attorney ,
Whistleblower Awards ,
White Collar Crimes
Last week, the Securities and Exchange Commission’s Division of Examinations (the “Division”) released its 2025 examination priorities, an annual publication by the Division designed to make the public aware of issues, areas,...more
On June 27, 2024, the Supreme Court of the United States issued its decision in SEC v. Jarkesy, holding that the Securities and Exchange Commission (“SEC”) must prosecute securities fraud before a federal court whenever it...more
7/12/2024
/ Administrative Law Judge (ALJ) ,
Article III ,
Consumer Financial Protection Bureau (CFPB) ,
Dodd-Frank ,
Federal Rules of Civil Procedure ,
Federal Rules of Evidence ,
FRCP 26(b)(1) ,
FRCP 45 ,
Jury Trial ,
SCOTUS ,
SEC v Jarkesy ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Fraud ,
Seventh Amendment
On March 18, 2024, Ismail Ramsey (“Ramsey”), the U.S. Attorney for the Northern District of California (“NDCA”), announced the launch of NDCA Whistleblower Pilot Program (the “Pilot Program”), a significant new policy that...more
On February 13, 2024, the United States Treasury’s Financial Crimes Enforcement Network (“FinCEN”) issued a proposed rule that would apply comprehensive anti-money laundering and countering the financing of terrorism...more
Last week’s wild ride in the crypto-verse started, of all places, in New Hampshire. On Monday, a federal judge ruled that LBRY Credits (“LBC”) are securities, and thus LBRY violated Section 5 of the Securities Act of 1933 by...more