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Criminal Prosecution C-Suite Executives

Womble Bond Dickinson

DOJ Raises Stakes on Corporate Compliance: How to Respond

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Even at companies with separate legal and compliance departments, Department of Justice-enforced compliance is a key concern for in-house counsel. Those pressures only will increase in the near future and are rapidly...more

A&O Shearman

Federal Court Dismisses SEC Insider Trading Case, Holding That Suspicious Trading Plus Evidence Of Relationship And Communications...

A&O Shearman on

On December 13, 2021, U.S. District Court Judge Claude Hilton, of the Eastern District of Virginia, dismissed the Securities and Exchange Commission’s (“SEC’s”) insider trading action against Christopher Clark before the...more

The Volkov Law Group

Antitrust Compliance Lessons Learned from Chicken Price-Fixing investigation and Indictment (Part III of III)

The Volkov Law Group on

The Antitrust Division’s recent indictment of the boiler chicken executives provided an important reminder to compliance officers on the importance of an effective antitrust compliance program....more

Thomas Fox - Compliance Evangelist

Top Five Department of Justice FCPA Enforcement Actions in 2019

Welcome to the 2020’s. The past decade helped shape both Foreign Corrupt Practices Act (FCPA) enforcement and corporate compliance programs. 2019 FCPA enforcements bore out many of the developments from the preceding years of...more

Sheppard Mullin Richter & Hampton LLP

How to Prevent or Defend Against Business Crimes, including Trade Secrets and Human Trafficking

The C-Suite rarely wants to consider, much less worry about, the impacts of criminal conduct on their business. The reality is, however, companies can and do get pulled into criminal and quasi-criminal enforcement actions as...more

The Volkov Law Group

CEOs Under the Criminal Spotlight – More C-Suite Misconduct

The Volkov Law Group on

We live in a bizarre time — an information age where lines are blurred between truth and lies — a strange era in which our daily doses of information are dominated by scandals, corruption, and repeated claims of “fake news.” ...more

The Volkov Law Group

ArthroCare CEO Reconvicted for Fraud

The Volkov Law Group on

The healthcare industry continues to be a frequent target for criminal prosecutions. More importantly, federal prosecutors are ready, willing and able to bring criminal cases against C-Suite actors involved in healthcare...more

The Volkov Law Group

Misconduct in the C-Suite: SEC Settles FCPA Case with CEO

The Volkov Law Group on

The SEC is setting its sights on individual prosecutions. Both the Justice Department and the SEC have reiterated the importance of prosecuting individuals. DOJ’s Yates Memorandum promises to deliver an increase in civil and...more

Thomas Fox - Compliance Evangelist

Compliance at the Tipping Point, Part V – Protection Afforded From a Compliance Program

Today, I wrap up my series on why I think compliance is at the Tipping Point. However as it is a Friday in October, I continue my tribute to the Man in the Shadows, producer Val Lewton, whose films for RKO had some of the...more

Dorsey & Whitney LLP

The Yates Memo: A New DOJ Investigative Approach - Update

Dorsey & Whitney LLP on

Since at least the market crisis there has been a clamor to convict senior corporate officials of federal felonies – or at least name them in a civil law enforcement action by the SEC or another agency. For years the...more

Epstein Becker & Green

DOJ Focuses on Individual Accountability: New Guidance for Corporate Investigations Places Pressure on Companies and Boards to Put...

Epstein Becker & Green on

On September 9, 2015, the Department of Justice (“DOJ”) issued new guidance on individual accountability for corporate wrongdoing. In the memorandum and an accompanying speech by the Deputy Attorney General Sally Q. Yates,...more

Dorsey & Whitney LLP

Financial Fraud: An SEC Staple?

Dorsey & Whitney LLP on

Since the SEC announced the formation of its Financial Fraud Task Force two years ago the agency has struggled to establish this once enforcement mainstay as a current staple. Some commentators have suggested that a trend is...more

Constangy, Brooks, Smith & Prophete, LLP

UNDER THE BUS: Feds’ New Focus On Individual Wrongdoers Has Implications For Employers

The U.S. Department of Justice has recently issued a memorandum entitled “Individual Accountability for Corporate Wrongdoing.” According to the Memorandum, companies involved in federal criminal and civil investigations will...more

Katten Muchin Rosenman LLP

The Department of Justice's Focus on Individual Accountability for Corporate Wrongdoing

The Department of Justice's Focus on Individual Accountability for Corporate Wrongdoing - The Department of Justice (DOJ) recently issued a memo reiterating its commitment to the criminal and civil investigation and...more

Fisher Phillips

Increased Criminal Prosecution of Employers – Part Two – Should You Be Concerned?

Fisher Phillips on

Note: This series was prompted by the DOJ’s September 9 “Yates Memo” focusing on increased executive prosecutions and renewed interest by OSHA in criminal actions. We don’t see many employee or consumer safety criminal...more

Katten Muchin Rosenman LLP

Bridging the Week - September 2015 #2

CFTC Says Virtual Currencies Are a “Commodity” Under Federal Law, Files Charges Against Coinflip for Operating an Unregistered Bitcoin Options Trading Platform - The Commodity Futures Trading Commission filed and...more

Akin Gump Strauss Hauer & Feld LLP

Justice Department Issues New Policy Prioritizing Prosecution of Individuals in Corporate Cases

On September 9, 2015, the U.S. Department of Justice issued guidance regarding the prosecution of individuals in cases involving criminal and civil corporate wrongdoing. The first major policy memorandum issued since Attorney...more

Dorsey & Whitney LLP

This Week In Securities Litigation

Dorsey & Whitney LLP on

The Yates Memo, refocusing DOJ criminal and civil corporate investigations, continues to be the critical topic of discussion this week. The Memo, discussed here, directs that individuals be the focus of the inquiry from the...more

Dorsey & Whitney LLP

The Yates Memo: A New DOJ Investigative Focus

Dorsey & Whitney LLP on

Since at least the market crisis there has been a clamor to charge and convict senior corporate officials – or at least name them in a civil law enforcement action by the SEC or another agency. For years the Government...more

Latham & Watkins LLP

DOJ Guidance Prioritizes Individuals in Criminal and Civil Corporate Enforcement Actions

Latham & Watkins LLP on

A serious shift of focus to individual accountability may impact traditional corporate defense and settlement tactics. On September 9, 2015, the Department of Justice (DOJ) issued a set of guidelines that formally revise...more

Katten Muchin Rosenman LLP

Bridging the Week - September 2015

Alleged Flash Crasher's Formal Indictment Provides More Details Regarding His Purported Spoofing - The US Department of Justice filed a formal indictment against Navinder Singh Sarao in a US federal court in Chicago on...more

The Volkov Law Group

Misconduct in the C-Suite: The United Airlines Scandal

The Volkov Law Group on

It was like a bolt out of the blue – United Airlines’ CEO and two senior executives hastily announced their resignation as a result of their involvement in a bribery scandal with the New York Port Authority....more

McGuireWoods LLP

Unpacking the Yates Memo: What the "New" DOJ Policy Really Means

McGuireWoods LLP on

The DOJ made a significant splash on Wednesday when a memorandum from Deputy Attorney General Sally Quillian Yates to all DOJ attorneys, including the U.S. Attorneys across the country, announced a policy to increasingly...more

Proskauer - Corporate Defense and Disputes

Justice Department Prioritizes Prosecution of Individuals for Corporate Misconduct in New Guidance

After prolonged criticism over its lack of prosecution of individuals responsible for corporate misconduct, the Justice Department has issued new internal guidance that makes clear that prosecuting individuals in white collar...more

Katten Muchin Rosenman LLP

Fee Advancement Considerations Arise From Recent Delaware and Third Circuit Decisions

Recent decisions by the US Court of Appeals for the Third Circuit and the Delaware Court of Chancery have raised important issues regarding fee advancement bylaws or policies of Delaware corporations. Please see full...more

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