Securities Criminal Law

SEC FCPA DOJ Enforcement Actions Insider Trading Compliance Criminal Prosecution Securities Fraud Bribery Enforcement Popular Personal Benefit Anti-Corruption US v Newman Fraud Illegal Tipping UK White Collar Crimes SCOTUS Deferred Prosecution Agreements CFTC Securities US v Salman Corruption FCPA Resource Guide Material Nonpublic Information Financial Conduct Authority (FCA) Whistleblowers Hedge Funds Chief Compliance Officers Misappropriation China Dirks v SEC Dodd-Frank FINRA Indictments Criminal Convictions Money Laundering Securities Exchange Act EU Wire Fraud Settlement Tippees Corporate Counsel Internal Investigations Tippers Broker-Dealer Criminal Conspiracy Disgorgement Investment Adviser Anti-Money Laundering Anti-Bribery Confidential Information Market Manipulation Non-Prosecution Agreements Securities Litigation Spoofing Appeals Portfolio Managers Serious Fraud Office Banks FinCEN Libor Ponzi Scheme Price Manipulation Guilty Pleas Statute of Limitations Audits Internal Controls Personal Liability Securities Violations Ethics Foreign Official Australia Due Diligence Yates Memorandum Conflicts of Interest Cooperation Investigations Investment Funds OFAC Offering Fraud Bitcoin Breach of Duty Trump Administration Canada Federal Sentencing Guidelines Pharmaceutical Industry Rule 10b-5 UK Bribery Act Bank Secrecy Act Fiduciary Duty Government Investigations Hong Kong Mary Jo White Misrepresentation C-Suite Executives Civil Monetary Penalty FBI Financial Institutions Penalties Self-Reporting Voluntary Disclosure Banking Sector Convictions Federal Pilot Programs Risk Assessment Corporate Governance Cybersecurity Virtual Currency Board of Directors Brazil False Claims Act (FCA) High Frequency Trading Reporting Requirements Risk Management Securities Act of 1933 Swaps Class Action Corporate Crimes Corporate Executives Declination Export Controls False Statements JPMorgan Chase OECD PCAOB Sanctions Sentencing Conspiracies Corporate Misconduct European Securities and Markets Authority (ESMA) Fines Investors Russia SFO Unregistered Securities Books & Records Commodities Corporate Officers Criminal Investigations Cross-Border Economic Sanctions Evidence Kokesh v SEC Oil & Gas Remediation RMBS Sarbanes-Oxley Shareholders Extraterritoriality Rules Forfeiture Hackers Individual Accountability Judge Rakoff Subsidiaries Whistleblower Awards Acquittals Administrative Hearings Attorney Generals Attorney-Client Privilege Brokers Dell Deutsche Bank Financial Markets Kickbacks Section 10(b) Strategic Enforcement Plan Suspicious Activity Reports (SARs) Ukraine Barclays Commodities Exchange Act Employer Liability Issues Exports Federal Reserve Foreign Banks Foreign Nationals Iran Sanctions Jurisdiction Jury Verdicts Mail Fraud Market Abuse Martoma Morgan Stanley Municipal Bonds Nvidia Personal Jurisdiction Pump and Dump Ralph Lauren Siemens Stocks Whistleblower Protection Policies Acquisitions Asset Management Avon Bank Fraud Blockchain CEOs Disclosure Requirements EB-5 Fifth Amendment Financial Crimes Financial Fraud Foreign Subsidiaries Goldman Sachs IRS Japan MiFID II Non-Public Information OCC Petition For Rehearing Raj Rajaratnam RICO Tax Evasion U.S. Treasury Wal-Mart Bank of America Corporate Culture Criminal Sanctions Crowdfunding Cryptocurrency Financial Regulatory Reform Fund Managers GlaxoSmithKline HSBC Investment Fraud JOBS Act Medical Devices Mergers Mortgages Neither Admit Nor Deny Settlements Public Comment Publicly-Traded Companies Red Notices Rolls-Royce SAC Capital Sanction Violations Security-Based Swaps Telecommunications Training Unregistered Brokers Venezuela Algorithmic Trading Alstom Arbitration Auditors Bernie Madoff BIS CFPB CME Collateralized Debt Obligations Conflict Mineral Rules Criminal Penalties D&O Insurance Data Breach Disruptive Trading Practices Eli Lilly Email Extradition FDIC Financial Services Industry FinTech FSMA Futures Government Officials Initial Coin Offering (ICOs) Investment Advisers Act of 1940 Mexico Minimum Contacts Obstruction of Justice Petrobras Private Equity Professional Liability Proposed Legislation SDN List Singapore Tender Offers Teva Pharmaceuticals Volcker Rule World Bank Administrative Proceedings Admissions Anti-Retaliation Provisions Asset Freeze Bank of New York (BNY) Mellon Best Management Practices Capital Markets Certiorari Citigroup Civil Forfeiture Corporate Investigations CPO Cyber Attacks Dark Pool Data Privacy Data Security Derivatives Digital Currency Dismissals Due Process FATCA Federal Prosecutors Financial Services Authority FIRREA Foreign Jurisdictions Forex France Hiring & Firing Incentives India Investment Management Martin Shkreli Meals-Gifts-and Entertainment Rules Mens Rea Mortgage-Backed Securities NFA Pay-To-Play Policies and Procedures Prudential Regulation Authority Recordkeeping Requirements Regulatory Agenda Securities Traders Senate Confirmation Hearings Short Sales STOCK Act Suspensions & Debarments Terrorism Funding Third-Party Trade Secrets Transparency UK Brexit Wells Fargo Akamai Technologies AML/CFT Argentina Attorney's Fees Australian Securities and Investments Commission Basel Committee Beneficial Owner BlackRock Block Trades Bonds Cease and Desist Orders CFPOA Charitable Donations Code of Conduct Constitutional Challenges Corporate Criminal Fines Corporate Fraud Custody Rule Customs Defense Contracts Department of Financial Services Distributed Ledger Technology (DLT) EMIR En Banc Review Energy Sector ERISA Excessive Fees Executive Orders Federal Contractors Fédération Internationale de Football Association (FIFA) Financial Statements Foreign Corporations Foreign Exchanges Foreign Investment FTC GAO Halliburton Hewlett-Packard Hong Kong Securities and Futures Commission (HKSFC) Human Resources Professionals Investment Firms Jury Instructions Jury Trial Medicare Motion to Dismiss Multinationals NAFTA Nasdaq New Guidance New Legislation Ontario Securities Commission (OSC) Patents Patriot Act Permanent Injunctions Petition for Writ of Certiorari Plea Agreements Presidential Appointments Proposed Regulation Public Officials Qualcomm Quid Pro Quo Rajat Gupta RBS Retaliation Risk Mitigation Rule 10(b) Scams Scienter Settlement Agreements Shareholder Litigation Shell Corporations Sherman Act South Africa South Korea Special Relationship Subpoenas Theft Third-Party Risk Token Sales UBS Unfair or Deceptive Trade Practices Willful Misconduct Wiretapping Young Lawyers Aerospace Africa Aiding and Abetting Airbus ALJ Allianz Automotive Industry Bank Holding Company Benchmark Pricing Benchmarks BHP Billiton Broken Windows BSA/AML Burden of Proof Capital Gains Cease and Desist Clawbacks Commercial Bankruptcy Commodity Pool Compelled Testimony Cooperation Agreement Cooperation Initiative Corporate Fines Corporate Gifts Credit Suisse Criminal Defense Criminal Liability Cuba Currency Transaction Reports (CTR) Customer Due Diligence (CDD) Customer Identification Program (CIP) Customs and Border Protection Czech Republic Data Protection Debt Securities Delaware General Corporation Law Derivative Suit Derivatives Clearing Organizations DHS Directors Disciplinary Proceedings Disclosure eBay Enforcement Statistics Espionage EU Market Abuse Regulation (EU MAR) European Banking Authority European Commission Facilitation Payments FATF FCPA Guidance Filing Requirements Financial Crisis Financial Instruments Financial Reporting Form 10-K Fourth Amendment Fraud-on-the-Market Frozen Assets FTAIA GAAP Gabelli v SEC Gambling Germany Goodyear Haiti Healthcare IBM Income Taxes Indemnification Initial Public Offerings Injunctions Insider Information Instrumentality Insurance Industry International Organization for Standardization IPO Janus Capital Group KPMG Kuwait Liquidity Loans Magyar Telekom Manufacturers Material Misstatements Materiality Medicaid Memorandum of Understanding Mining Misleading Statements Money Services Business Morrison v National Australia Bank Municipal Securities Market No-Action Relief Novartis NYDFS NYSE OCIE Penny Stocks Pension Funds Political Corruption Political Intelligence Prejudgment Interest Price-Fixing Proposed Amendments Pyramid Schemes Ransomware Rating Agencies Registered Investment Advisors Registration Regulation SHO Regulatory Standards Restitution Retailers Reversal SEC v Straub Self-Disclosure Requirements Self-Incrimination Split of Authority State-Owned Enterprises Stock Trades Stress Tests Successor Liability Swap Dealers Tax Fraud Terrorist Financing Regulations Third-Party Service Provider Trade Market Abuse Trademarks Trust Preferred Securities Trustees Twitter U.S. Commerce Department US v Yates Vacated Visas Waivers Work Product Privilege 10b5-1 Plans Accounting Administrative Resignation Advisory Opinions AIFM Aircraft Sales Airlines Alien Tort Statute Alternative Investment Fund Managers Directive (AIFMD) Anonymity Antitrust Investigations Arms Export Control Act Asia Athletes Audit Committee Audit Reports Austria Bad Actors BaFin Bank Holding Company Act Banking Crisis Barack Obama Belgium Bid Rigging Bids Big Law Bio-Rad Laboratories Biofuel BizJet Business Continuity Plans Bylaws Canadian Securities Administration Capital Formation Capital Requirements Certifications CFIUS CFOs Cherry Picking Churning Citibank CMS Commodities Traders Commodity Futures Contracts Consent Order Corporate Issuers Corporate Liability Corporate Social Responsibility Corporations Code Counterparties Covered Financial Institutions Credit Ratings Criminal Procedure Criminal Records Cross-Border Transactions CSBS CTA Currency Exchange Cyber Crimes Cyber Threats Damages Data Collection Defense Strategies Depositions Destruction of Evidence Direct Access Partners Discovery Documentation DOL DPA Electronic Blue Sheets Energy Market Enforcement Authority Equal Protection Ernst & Young EU Directive Exchange-Traded Products Executive Compensation Exemptions Expert Testimony Extortion Extractive Industry Transparency Rule Exxon Mobil Failure To Disclose Fair Lending Fake News False Advertising FCMs FDA Federal Rules of Civil Procedure Federal Rules of Evidence Fédération Internationale de Football Association (FIFA) Fee-Shifting Fees FERC Final Rules Finland Flash Crash FLIR System Foreign Defendants Forum Selection Free Speech FSIA General-Business Gun Laws Habeas Corpus Health Care Providers Hitachi Hobbs Act Hong Kong Stock Exchange Hospitality Industry Hospitals Identity Theft Illegal Imports Immigrants Independent Counsel Industry Examinations Information Reports Information Sharing Inspections Intent Internal Reporting International Litigation International Trade Internet Service Providers (ISPs) Interstate Commerce Investment Banks Investment Companies Investor Protection ISDA ISS ITAR Joint Venture Jones Act Justice Scalia KBR (formerly Kellogg Brown & Root) Korea Lanham Act Latin America Legal Entities Liquidity Coverage Ratio London Whale Lying Malware Mandatory Victim's Restitution Act Margin Calls Margin Requirements Mark Cuban Market Access Rule Market Participants McDonnell v US Member State Merrill Lynch MiFID MiFIR Money Transfer Money Transmitter Mortgage Lenders Municipalities Mutual Funds New Regulations No-Action Letters Nortek NPRM Nu Skin Offshore Drilling Olympics Omnicare Oppenheimer & Co. Panama Papers Parallel Claims Patent Infringement PetroTiger Physicians Prescription Drugs Press Releases Private Funds Private Placements Professional Misconduct Profits Promissory Notes Proxy Statements Public Disclosure Putative Class Actions Qui Tam Rabobank Rare Earth Metals Reaffirmation Recidivism Registration Statement Regulation S-P REIT Remand Remedies REMIT Residential Capital LLC Retirement Plan Risk-Based Approaches Rule 506 Offerings S&P Sapin II Sealed Records Search & Seizure Search Warrant SEC v Payton SEC v Sharef Section 10(b)-5 Securities Act Selective Waivers Self-Dealing Senior Managers Shaw v United States Shell Oil Short Selling Silk Road SLUSA Smart Contracts Sons And Daughters Sovereign Wealth Funds Spain Sports Statute of Repose Steve Cohen Stock Promoters Stop Order Subprime Mortgages Supervision Supply Chain Swap Data Repositories TARP Tax Deductions Tax Refunds Thailand Tolling TRACE Trading Platforms Trans-Pacific Partnership Transparency International Travel Act U.S. Attorney Uber Underwriting United Airlines United Nations Upjohn Warnings VimpelCom Volkswagen Wall Street Warrantless Searches Whistleblower Hotlines WKSIs 401k Absolute Privilege Abuse of Discretion Abuse of Power Accomplice Liability Accounting Controls Accounting Fraud Actual or Constructive Knowledge Administrative Appointments Administrative Authority Administrative Procedure Act Advancement Advertising Advocate Health Care v Stapleton Agency Deference Agents Aggregation Rules Agricultural Sector AIFs AIG AIM Aircraft Equipment Airports Alberta Securities Commission Alcoa Aleynikov Ally Financial Inc Alternative Investment Funds Alternative Trading Systems Amended Legislation Amended Regulation America Invents Act American Bar Association (ABA) Analytics Anheuser-Busch Annual Assessments Annuities Annunzio-Wylie Anti-Money Laundering Act Anti-Dumping Duty Anti-Terrorism Financing Antiterrorism Act Antitrust Division Antitrust Litigation Apple Apple v Samsung Appointments Clause Apportionment Arrest Article III Article of Manufacture Artificial Impairment Artificial Intelligence Asia Pacific Asset Valuations AstraZeneca Attorney Malpractice Auditor Independence AUSTRAC Auto Body Shop Auto Insurance Automated Systems Aviation Industry Balance Sheets Bangladesh Bank Fraud Act Bank of America v Miami Bank of England Bankruptcy Court Basel III BATS Exchange Bear Sterns Benchmarking Benefit Plan Sponsors Best Practices Billable Hours Billing Biotechnology BitLicense Blocked Entities Blue Sky Laws BNP Paribas Boeing BP Breach of Contract Breach of Trust Bristol-Myers Squibb Broker Commissions Brokerage Accounts Brokered Deposits BRRD Bruker Business Conduct Standards Business Development Business Partners BVI Business Companies CAATSA Campbell Ewald v Gomez Capital Losses Capital Markets Union Capital One Carbon Emissions Cardinal Health Caremark claim Cartels Casey Anthony Causation CBOE CEA Cell Phones Censorship Census CFDA Chamber of Commerce Chapter 7 Chevron Deference Chile Choke Point Church Plans CIP Cisco Civil Investigation Demand Civil Liability Claim Construction Claim Denial Letters Class Certification Clean Companies Act Clear Error Standard Clearing Members Clinical Laboratories CMBS Cobalt Collateral Bars Collateral Estoppel College Athletes Collusion Color of Right Columbia Comment Period Commerzbank Common-Interest Privilege Community Reinvestment Act Competition Complex Litigation Compliance Costs Component Parts Doctrine Conditional Gifts Confidential Communications Conflicts of Laws Congressional Committees Congressional Intent Congressional Investigations & Hearings Consideration Construction Industry Consultants Consultation Consumer Credit Protection Consumer Lenders Consumer Watchdog Continuing Legal Education Contract Drafting Contractors Controlled Foreign Corporations COOs Copyright Copyright Alert System Corporate Financing Corporate Integrity Agreement Corporate Monitoring Corporate Structures Corporate Taxes Corporate Veil COSO Cost Allocation Cost-Benefit Analysis Costco Counter-Terrorist Countervailing Duties Covered Transactions Cramdown CRD IV Directive Credibility Credit Cards Crime Victims Criminal Antitrust Litigation Criminal Justice Act Criminalization Crisis Management CSRC CTFC Customer Funds Protection Cyber Incident Reporting Cyberforensics DACA DaimlerAG Dallas Airmotive