AGG Talks: Antitrust and White-Collar Crime Roundup - The D.C. and Georgia Trump Indictments
What to Do When an Employee Receives a Subpoena
When Should Presidential Appointees Lawyer Up? [More with McGlinchey, Ep. 17]
Do I Need a Lawyer? Federal Employees Under Investigation [More with McGlinchey Ep. 1]
PODCAST: Williams Mullen's Benefits Companion - Government Investigative Demands
Polsinelli Podcast - Social Media at Work - What's Allowed and What Isn't?
What Not To Do If You Are Involved in a Federal Criminal Investigation
Do You Need A Lawyer for a Federal Grand Jury Subpoena?
Financial services companies, such as banks, credit unions, lenders, finance companies, loan servicers, broker-dealers, and securities firms, often receive subpoenas from parties in litigation involving their customers,...more
The U.S. Securities and Exchange Commission (SEC) investigates companies, brokerage firms, and individuals for a broad range of statutory and regulatory violations. These investigations can lead to civil or administrative...more
Tracking the key areas of concern to SEC enforcement can be beneficial for issuers, investment advisers and others that may be subject to scrutiny by the Commission. For example, identifying key areas of focus by determining...more
The Securities and Exchange Commission (“SEC”) entered an order (“Order”) yesterday against a broker-dealer for failing to retain text messages relating to the firm’s business. The firm was fined $100,000. The firm’s...more
California State Court Upholds Exclusive Federal Forum-Selection Charter Provision for 1933 Act Suits; California District Court Dismisses Fraud-Related Claims Against AT&T; Third Circuit Holds Challenge to SEC’s Decision to...more
Bass, Berry & Sims attorney Chris Lazarini provided insight on a case in which a broker, already engaged with the SEC on another matter, sought injunctive relief following the SEC’s subpoenas and request for information...more
REGULATORY UPDATE - Ten Investment Advisory Firms Subject to Steep Penalties after Violating Pay-to-Play Rules - In January 2017, 10 investment advisory firms agreed to settle with the U.S. Securities and Exchange...more