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The Volkov Law Group

FCPA Enforcement Against Broker-Dealers: A New Headache For CCOs

The Volkov Law Group on

In 2010, Wall Street shuddered when it was disclosed that the SEC had launched an inquiry into financial institutions, investment banks and private equity firms for potential FCPA violations involving interactions with...more

The Volkov Law Group

Broker-Dealers Cross Into FCPA Territory

The Volkov Law Group on

The recent prosecution of two registered broker-dealers and a Venezuelan government official for FCPA violations underscores a point I often make – nothing good ever happens when the government has a reason to look around in...more

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