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Court of Appeals Reinstates Insurance Coverage Claim for Disgorgement
Joel Haims, Carl Loewenson, and Andreea Vasiliu
6/13/2013
Public Companies Counseling + Compliance, Securities Litigation, Securities Litigation, Enforcement + White-Collar Defense
Client Alert
Ninth Circuit Limits Key Defense in ERISA Stock Drop Cases
Paul Flum and Raymond Hasu
6/10/2013
Compensation, Benefits + ERISA, Employment + Labor, Public Companies Counseling + Compliance, Securities Litigation, Enforcement + White-Collar Defense
Client Alert
4 Lessons From Total’s FCPA Settlement
Law360
Randall Fons and Brian Hoffman
6/5/2013
FCPA + Anti-Corruption, Public Companies Counseling + Compliance, Securities Litigation, Enforcement + White-Collar Defense
Article
What’s Old is New Again: Total Settles FCPA Charges Involving Decade-Old Conduct
Randall Fons and Brian Hoffman
5/31/2013
FCPA + Anti-Corruption, Government Contracts, Public Companies Counseling + Compliance, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Client Alert
Broker-Dealer Email Systems Must Keep Pace with Firm Growth, FINRA Says
Daniel Nathan and Kelley Howes
5/28/2013
Banking + Financial Services, Broker-Dealer Compliance + Regulation, Financial Institutions + Financial Services, Investment Management, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Client Alert
FINRA Focuses on Anti-Money Laundering Procedures and Red Flags
Daniel Nathan and Kiersten Fletcher
5/16/2013
Banking + Financial Services, Broker-Dealer Compliance + Regulation, Financial Institutions + Financial Services, Securities Litigation, Enforcement + White-Collar Defense
Client Alert
DOJ Turns FCPA Spotlight on Financial Services Sector as Enforcement Efforts in Latin America Continue
Adam Hoffinger, Robert Salerno, and Demme Doufekias
5/15/2013
FCPA + Anti-Corruption, Government Contracts, Internal Investigations, Public Companies Counseling + Compliance, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Client Alert
SEC Sanctions Fund Trustees for Inadequate Disclosures and Failure to Follow Compliance Policies
Jay Baris and Kelley Howes
5/2/2013
Investment Management, Regulatory + Enforcement, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Client Alert
Top Trial Attorney James Brosnahan Reflects on Over 50 Years of Law Practice
Laws.com
James Brosnahan
4/30/2013
Litigation, Securities Litigation, Enforcement + White-Collar Defense, Trials
Article
Reprinted with permission.
SEC and CFTC Issue Identity Theft Rules
Daniel Nathan and Ana-Maria Ignat
4/19/2013
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services, Investment Management, Public Companies Counseling + Compliance, Regulatory + Enforcement, Securities Litigation, Enforcement + White-Collar Defense
Client Alert
Preventing Corruption While Protecting Personal Information
Bloomberg BNA Privacy and Security Law Report
Suhna Pierce, Marian Waldmann Agarwal, and Ruti Smithline
4/8/2013
FCPA + Anti-Corruption, Privacy + Data Security, Securities Litigation, Enforcement + White-Collar Defense
Article
Reprinted with permission.
Delaware Supreme Court Holds that Collateral Estoppel Applies to Dismissal on Demand-Futility Grounds
Jordan Eth, Judson Lobdell, and Deanne Maynard
4/5/2013
Appellate + Supreme Court, Public Companies Counseling + Compliance, Securities Litigation, Securities Litigation, Enforcement + White-Collar Defense
Client Alert
SEC Offers Guidance on Use of Social Media for Public Disclosure
David Lynn
4/4/2013
Corporate Governance, Public Companies Counseling + Compliance, Securities Litigation, Enforcement + White-Collar Defense
Client Alert
What Does Cooperation Buy You?
Law360
Carl Loewenson, Ruti Smithline, Kayvan Sadeghi, Brian Hoffman, Justin Hoogs, and Kiersten Fletcher
4/4/2013
Public Companies Counseling + Compliance, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Article
Reprinted with permission.
U.S. Supreme Court Invites Solicitor General’s Views on Whether to Grant Review of Case Addressing Two Key Issues in ERISA Fiduciary Duty Claims
Paul Flum and Raymond Hasu
3/29/2013
Appellate + Supreme Court, Employment + Labor, Securities Litigation, Enforcement + White-Collar Defense
Client Alert
Enforcement Heads Reveal All at SIFMA Annual Seminar
Daniel Nathan
3/22/2013
Public Companies Counseling + Compliance, Regulatory + Enforcement, Securities Litigation, Enforcement + White-Collar Defense
Client Alert
Supreme Court: securities fraud plaintiffs need not prove materiality to certify a class
International Law Office
Jordan Eth, Joel Haims, and Kayvan Sadeghi
3/19/2013
Appellate + Supreme Court, Commercial Litigation, Public Companies Counseling + Compliance, Securities Litigation, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Article
Reprinted with permission.
The SEC Speaks: Reflections and Enforcement Initiatives in 2013
Randall Fons, Brian Hoffman, and Tiffany Rowe
3/5/2013
FCPA + Anti-Corruption, Internal Investigations, Public Companies Counseling + Compliance, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement, White-Collar Defense
Client Alert
California Lawyer 2013 Roundtable Series: Securities
California Lawyer
Jordan Eth and Craig Martin
March 2013
Internal Investigations, Securities Litigation, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Article
Reprinted with permission.
Supreme Court Holds That Securities Fraud Plaintiffs Do Not Have to Prove Materiality to Certify a Class
Jordan Eth, Joel Haims, and Kayvan Sadeghi
2/27/2013
Appellate + Supreme Court, Commercial Litigation, Public Companies Counseling + Compliance, Securities Litigation, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Client Alert
Supreme Court: Statute of Limitations in SEC Fraud Cases Begins to Run When Fraud Occurs, not When Discovered.
Jay Baris, Randall Fons, and Kelley Howes
2/27/2013
Investment Management, Securities Litigation, Enforcement + White-Collar Defense
Client Alert
New FCPA Decision: The Battle Continues on the FCPA’s Jurisdictional Reach
Paul Friedman, Ruti Smithline, and Adam Hunt
2/25/2013
FCPA + Anti-Corruption, Government Contracts, Public Companies Counseling + Compliance, Securities Litigation, Enforcement + White-Collar Defense
Client Alert
New FCPA Decision: How Long is the FCPA’s Reach?
Paul Friedman, Ruti Smithline, and Adam Hunt
2/14/2013
FCPA + Anti-Corruption, Government Contracts, Internal Investigations, Public Companies Counseling + Compliance, Securities Litigation, Enforcement + White-Collar Defense
Client Alert
SEC Enforcement Priorities and Compliance Opportunities
Of Counsel, Vol. 32, No. 2
Brian Hoffman
February 2013
Broker-Dealer Compliance + Regulation, Investment Management, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Article
Reprinted with permission, Aspen Publishers.
SEC Approves New Compensation Committee and Adviser Independence Listing Standards
David Lynn, Lawrence Bard, and Daniel Kahan
1/18/2013
Capital Markets, Corporate Governance, IPOs, Public Companies Counseling + Compliance, Securities Litigation, Enforcement + White-Collar Defense
Client Alert
2012 Insider Trading Annual Review
Carl Loewenson, Ruti Smithline, Kiersten Fletcher, Brian Hoffman, Justin Hoogs, and Kayvan Sadeghi
1/17/2013
Corporate, Corporate Governance, Internal Investigations, Litigation, Public Companies Counseling + Compliance, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement, White-Collar Defense
Client Alert
SEC Accuses Fund Directors of Breaching Their Valuation Duties
Jay Baris and Kelley Howes
1/2/2013
Investment Management, Securities Litigation, Enforcement + White-Collar Defense
Client Alert
New Standards for Aiding and Abetting
Executive Counsel
Brian Hoffman
December 2012 / January 2013
Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Article
UK Serious Fraud Office Focuses on Overseas Corruption with Rolls Royce Investigation
Kevin Roberts and Duncan Grieve
12/10/2012
FCPA + Anti-Corruption, Litigation, Public Companies Counseling + Compliance, Securities Litigation, Enforcement + White-Collar Defense
Client Alert
DOJ and SEC Issue Long Anticipated FCPA Guidance: “Resource Guide” Sheds Light, but Gray Areas Remain
Business Law Today
Paul Friedman, D. Anthony Rodriguez, and Ruti Smithline
December 2012
FCPA + Anti-Corruption, Securities Litigation, Enforcement + White-Collar Defense
Article
Reprinted with permission.
Anti-Corruption and Privacy Laws – Collision Course?
Suhna Pierce, Marian Waldmann Agarwal, and Ruti Smithline
12/3/2012
FCPA + Anti-Corruption, Internal Investigations, Privacy + Data Security, Securities Litigation, Enforcement + White-Collar Defense, White-Collar Defense
Client Alert
FCPA Regulators Speak on Newly Released FCPA Guidance and Reiterate Unwavering Commitment to FCPA Enforcement
Stacey Sprenkel
11/20/2012
FCPA + Anti-Corruption, Government Contracts, Internal Investigations, Public Companies Counseling + Compliance, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Client Alert
DOJ and SEC Issue Long Anticipated FCPA Guidance
Paul Friedman, D. Anthony Rodriguez, and Ruti Smithline
11/15/2012
FCPA + Anti-Corruption, Government Contracts, Internal Investigations, Public Companies Counseling + Compliance, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Client Alert
Shoot First and Ask Questions Later: Financial Regulators’ Use of Their Emergency Enforcement Powers
Financial Fraud Law Report, Vol. 4, No 10
Daniel Nathan
November/December 2012
Broker-Dealer Compliance + Regulation, Internal Investigations, Public Companies Counseling + Compliance, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Article
Reprinted with permission.
The Serious Fraud Office releases updated guidance on key aspects of the UK Bribery Act 2010 and self-reporting
Kevin Roberts and Keily Blair
10/11/2012
Commercial Litigation, Europe, FCPA + Anti-Corruption, Government Contracts, Public Companies Counseling + Compliance, Securities Litigation, Enforcement + White-Collar Defense
Client Alert
FCPA + Anti-Corruption Developments:
2012 End of Summer Round-Up
Paul Friedman, Keily Blair, Demme Doufekias, Madeleine Hensler, Brian Hoffman, Ruti Smithline, and Stacey Sprenkel
10/10/2012
FCPA + Anti-Corruption, Public Companies Counseling + Compliance, Securities Litigation, Enforcement + White-Collar Defense
Client Alert
Liability Under the Travel Act For Commercial Bribery
Westlaw Journal
Corporate Officers & Directors Liability, Volume 28, Issue 8
D. Anthony Rodriguez and Michael Kniffen
10/8/2012
FCPA + Anti-Corruption, Internal Investigations, Public Companies Counseling + Compliance, Securities Litigation, Enforcement + White-Collar Defense
Article
Reprinted with permission from Westlaw Journal.
Good Walls, Better Compliance: OCIE’s Report
Anna Pinedo, David Lynn, Daniel Nathan, and Hillel Cohn
10/1/2012
Broker-Dealer Compliance + Regulation, Capital Markets, Securities Litigation, Enforcement + White-Collar Defense
Client Alert
Travel Act: buttressing the FCPA
San Francisco Daily Journal
D. Anthony Rodriguez and Michael Kniffen
10/1/2012
FCPA + Anti-Corruption, Securities Litigation, Enforcement + White-Collar Defense
Article
Reprinted with permission.
Corporate Crime, Fraud and Investigations
Practical Law Multi-Jurisdictional Guide 2012/13 
Country Q&A: Japan
Practical Law Company
Daniel Levison and Yukihiro Terazawa
August 2012
FCPA + Anti-Corruption, Internal Investigations, Japan, Securities Litigation, Enforcement + White-Collar Defense
Article
Delaware Supreme Court Weighs In On Methodology for Attorneys' Fees Award in Shareholder Derivative Litigation
Philip Besirof
8/29/2012
Internal Investigations, Public Companies Counseling + Compliance, Securities Litigation, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Client Alert
SEC Whistleblower Office "Open for Business and Ready to Pay"
Randall Fons and Gabrielle Holburt
8/22/2012
FCPA + Anti-Corruption, Internal Investigations, Public Companies Counseling + Compliance, Securities Litigation, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Client Alert
FINRA Commences Sweep Request Relating to Conflicts of Interest
Daniel Nathan, Lloyd Harmetz, and Anna Pinedo
8/14/2012
Broker-Dealer Compliance + Regulation, Capital Markets, Securities Litigation, Enforcement + White-Collar Defense, Structured Products
Client Alert
China-based Company's Victory in Securities Fraud Case Reversed on Appeal
Timothy Blakely and Ruti Smithline
8/7/2012
FCPA + Anti-Corruption, Internal Investigations, Public Companies Counseling + Compliance, Securities Litigation, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Client Alert
Broker-Dealer AML Transaction Monitoring: The Devil’s in the Details
Securities Regulation & Law Report
Daniel Nathan
7/23/2012
Securities Litigation, Enforcement + White-Collar Defense
Article
Reproduced with permission from Securities Regulation & Law Report, 44 SRLR 1410, 07/23/2012. Copyright 2012 by The Bureau of National Affairs, Inc. (800-372-1033) http://www.bna.com
Cooperating and Showing Hardship Yields “Discounted” $2 Million Penalty for FCPA Violations
D. Anthony Rodriguez and Nicholas Roethlisberger
7/20/2012
FCPA + Anti-Corruption, Internal Investigations, Public Companies Counseling + Compliance, Securities Litigation, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Client Alert
FCPA Derivative Suit Dismissed:
Complaint Devoid of Specific Allegations Falls Woefully Short
Anna White, Timothy Blakely, and Ruti Smithline
7/10/2012
FCPA + Anti-Corruption, Internal Investigations, Public Companies Counseling + Compliance, Securities Litigation, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Client Alert
Building the Section 11 ‘Due Diligence’ Defense for Outside Directors and Dealing with Potential Complications
Business Law Today
D. Anthony Rodriguez
July 2012
Securities Litigation, Enforcement + White-Collar Defense
Article
Published in Business Law Today, July 2012. © 2012 by the American Bar Association. Reproduced with permission.
Court Finds No Duty to Publicly Disclose Wells Notices
Randall Fons and Nicole Serfoss
6/26/2012
Internal Investigations, Public Companies Counseling + Compliance, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement, White-Collar Defense
Client Alert
SEC Adopts Dodd-Frank Compensation Committee and Adviser Independence Rules
Lawrence Bard and Daniel Kahan
6/21/2012
Corporate Governance, IPOs, Public Companies Counseling + Compliance, Securities Litigation, Enforcement + White-Collar Defense
Client Alert
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