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The Assistant Attorney General (AAG) for the Criminal Division, Kenneth Polite, Jr.—who previously held positions as a US Attorney, law firm partner, and in-house counsel—was interviewed this afternoon...

Entrepreneurs who form, but ultimately do not activate, business entities may be vulnerable to identity theft.

Attorney General Eric Holder and Principal Deputy Assistant Attorney General for the Criminal Division Marshall Miller have sent the message that the Department of Justice is looking to hold individuals responsible for corporate crime

On March 30, 2020, the SEC announced an award of $450,000 to a whistleblower for providing significant information in an investigation by the Division of Enforcement. The whistleblower, who had compliance-related...

Recent corporate scandals have made effective and honest corporate governance the chief priority for every company.

Alain Leibman was featured in the Indy Star "Feds Dismiss Charges against Former Eli Lilly Scientists Accused of Stealing Trade Secrets."

Under the Securities Act of 1933, as amended (Securities Act), any offer to sell or sale of securities must be registered with the U.S. Securities and Exchange Commission (Commission) or qualify for a registration exemption.

Purshe Kaplan Sterling Investments ("PKS") agreed to pay approximately $3.4 million in restitution to a Native American tribe, and a $750,000 penalty...

The criminal case involved the buying and selling of stock based on information obtained off of hacked press releases stolen from three newswire services.

FCPA compliance affects all companies with international business operations.

Earlier this year we highlighted the growing trend of regulators asserting continuing post-investigation control over the operations of companies accused of compliance failures.

For those funds that have owned or currently own the ADRs or debt of Petrobras S.A., there are important developments in the securities fraud cases against Petrobras that are pending in federal court in Manhattan.

An investment advisory firm agreed to settle SEC charges of illegal short selling in advance of stock offerings.

A federal court held that life settlements were securities under federal and Illinois law.

The town of Oyster Bay, Long Island settled SEC charges of defrauding investors in connection with municipal securities offerings.

Stryker Corporation, a Michigan-based manufacturer of medical devices, has agreed to pay approximately $13.2 million to settle charges that it violated the Foreign Corrupt Practices Act’s (FCPA) books and records and internal controls provisions due to improper payments made to foreign officials by foreign subsidiaries in Argentina, Greece, Mexico, Poland, and Romania. Among other things, Stryker was accused of booking payments as legitimate legal expenses, travel expenses, and charitable donati

On November 14, 2016, plaintiff FHLBB and defendants RBS Securities Inc., RBS Acceptance, Inc., RBS Financial Products, Inc., and RBS Holdings, USA (Inc.) filed a joint stipulation seeking the dismissal...

Ely Goldin was featured in the Law360 article, "Morgan Stanley Must Face Oligarch's Insider Trading Claim."