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In the past year, a number of major financial institutions have been hit not just once, but twice by federal and state regulators for follow-on regulatory violations, including financial sanctions issues.

Among other significant developments, 2015 saw the U.S. Department of Justice (the "DOJ" or the "Department") document a policy priority of holding individuals accountable for corporate wrongdoing.

On May 15, 2013, the U.S. Securities and Exchange Commission charged CEO Dejun Zou and board chair Amy Qiu, husband-and-wife executives at China-based RINO International Corporation, alleging that they engaged in a scheme to overstate the company’s revenues and divert $3.5 million in proceeds from a securities offering for their personal use.

Manhattan District Attorney Alvin Bragg has launched the office's first Corporate Crime and Antitrust Task Force, marking a significant shift toward state-level criminal antitrust enforcement in New York. This development raises questions about coordination with the Attorney General's Office and creates new enforcement risks for businesses operating in the state. The initiative comes amid heightened scrutiny of algorithmic pricing and other corporate practices, though recent court decisions have complicated

On May 25, 2011, the Department of Labor's Administrative Review Board (ARB or "the Board") held that would-be whistleblowers claiming retaliation need not identify fraud with specificity but may engage in protected activity simply by making general complaints.

On March 23, 2023, top DOJ officials joined white collar lawyers, in-house counsel, and academics at the Global Investigations Review (GIR) Live spring conference in Washington...

On September 15, 2022, the Department of Justice (DOJ) released a long-anticipated memo announcing changes to its corporate criminal enforcement policies (Memo).

Last Wednesday, a United States District Court judge in the Southern District of Florida sentenced the former CEO of Latin Node, a now-defunct Florida-based telecommunication company, to 46 months in prison for paying bribes to Honduran government officials.

As we flew home last weekend from the ABA's annual white collar conference, we found ourselves reflecting on the insights and takeaways from the stellar lineup of speakers and panelists this year.

On January 13, 2010, the SEC continued its efforts to put pressure on companies and individuals to come forward with evidence of potential violations of the federal securities laws.

Deputy Attorney General (DAG) Lisa Monaco recently delivered a speech to the NYU Program on Corporate Compliance and Enforcement announcing ways the Department of Justice (DOJ) will "further strengthen...

DOJ announces tough new approach to the investigation and prosecution of corporate officers and employees.

On September 9, 2015, Deputy Attorney General Sally Q. Yates sent a memorandum within the DOJ, adding to and clarifying the Department's Principles of Federal Prosecution policy...

DOJ Criminal Division Chief Lays Out Department's Initiatives for White-Collar Investigations and Prosecutions

In a speech at an American Bar Association conference, Deputy Attorney General Sally Q. Yates highlighted changes that will be made to the U.S. Attorney's Manual (USAM) relating primarily to the Filip factors, which govern the considerations attorneys at the Department of Justice (DOJ) are to analyze when deciding whether to bring charges against organizations.

In Kaley v. United States, the U.S. Supreme Court held that criminal defendants are not entitled to challenge an asset freeze by relitigating a grand jury's determination that probable cause exists to believe they committed the crimes charged.

The Foreign Corrupt Practices Act prohibits making bribes to foreign government officials. Sounds straightforward, right? Not so.