In the Boardroom With Resnick and Fuller - Episode 3
In the Boardroom With Resnick and Fuller - Episode 1
The Sanity of Bank Directors
The Insider Trading Cartoon Series, Vol. 13 -- The Barry Switzer Story
Internal Investigations: The Impact of the Yates Memo, the FCPA Unit Pilot Program and Recent Legal Decisions
Variables Affecting Medical PL Settlement Values
Prior & Pending Litigation
Homebuilder Series Webinar: Fiduciary Duties & Auditor Liability
Claims: Government Investigations, Enforcement and Triggering Insurance Coverage Under D and O Insurance
At its March 1, 2025, meeting, the VSB Council voted to approve changes to Rule of Professional Conduct 1.5. The proposed amendment to the Rule includes a new subjection (g), which codifies an understanding that has been...more
Physicians and other healthcare providers often find themselves in situations in which they no longer want to care for a patient. It may be that the patient is disruptive, noncompliant, or is unable or refuses to pay for his...more
I am reluctant to wade into the issue of CCO liability because I gravitate toward a simplistic answer to a complex question – when does a CCO cross the line to warrant civil or even criminal prosecution? My simplistic...more
This article addresses the liability of inside attorneys at asset management companies— mutual fund sponsors, investment advisers, broker-dealers, life insurance companies—as gatekeepers under rules of the US Securities and...more
The U.S. Department of Commerce’s Office of Foreign Assets Control (OFAC) announced that Navigators Insurance Company, which is headquartered in New York and specializes in marine insurance and related lines of business,...more
We all know that sometimes the press just gets it wrong. They do not understand the nuance of an issue that may be right in the core of our legal and/or compliance practice. We all have read an article in our area of...more
In September 2014, the Securities and Exchange Commission (“SEC”) announced charges against 28 officers, directors and significant stockholders of public companies for violating federal securities laws which require such...more
The director of the SEC’s Division of Enforcement, Andrew Ceresney, said that using quantitative analytics the SEC has identified various individuals and companies with especially high rates of filing deficiencies and...more
Your company’s general counsel just “voluntold” you that you’re going to be deposed as the company’s representative in a court case that you’ve never heard of. What in the world is she talking about, and what will you have to...more
The Justice Department’s aggressive enforcement program has had a profound impact on corporate governance. As a consequence, the last there has been a significant change in emphasis in the C-Suite, among general counsel and...more
As a company prepares for an IPO, the last thing to sometimes be considered is the potential of future litigation. Although going public can of course be a very good thing for a company, its directors, its initial investors...more
Liability is something chief compliance officers have secretly worried about since the role was first created. They often joke, grimly, about becoming the “designated felon.” The joke may have been more prescient than...more
The Department of Justice has had enough. Banks and other financial institutions are not just on the radar screen – they are on the chopping block. One-by-one watch out – banks and other financial institutions are coming...more
On January 28, 2014, the Financial Industry Regulatory Authority, Inc. (“FINRA”) accepted a Letter of Acceptance, Waiver and Consent (the “AWC”) from a member firm, Banorte-Ixe Securities International, Ltd. (the “Firm”), and...more
Professional and trade associations contribute to the public welfare in many ways, including disseminating information, promoting research, developing standards and spurring industry initiatives. But such associations...more
This year had the largest number of individual Foreign Corrupt Practices Act (FCPA) enforcement actions since 2010, the year of the Gun Sting case. Here are the highlights of FCPA related enforcement actions against...more
On September 30, 2013, the U.S. Securities and Exchange Commission (SEC) – quietly, and with little fanfare – released an informal statement of policy in the form of frequently asked questions (FAQ), in which it addressed its...more