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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
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.
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
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.
Socially Aware:
The Social Media Law Update - Volume 4, Issue 1
John Delaney, Gabriel Meister, Aaron Rubin, Amanda Bakale, Tiffany Cheung, Jacob Kaufman, J. Lawrence, Christine Lyon, Julie O'Neill, and Jesse Soslow
1/31/2013
Employment + Labor, Internet, Media + Entertainment, Licensing + Technology Transactions, Privacy + Data Security, Securities Litigation, Securities: Regulatory + Enforcement, Social Media
Newsletter
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
FINRA Provides Early Guidance About Its Exam Priorities; Firms Should Take Notice
Jay Baris, Hillel Cohn, Kelley Howes, and Daniel Nathan
1/15/2013
Broker-Dealer Compliance + Regulation, Financial Institutions + Financial Services, Financial Services, Investment Management, Securities: Regulatory + Enforcement
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
Socially Aware:
The Social Media Law Update - Volume 3, Issue 5
John Delaney, Gabriel Meister, Aaron Rubin, Nicholas Datlowe, Anna Ferrari, D. Reed Freeman, Jacob Kaufman, Christine Lyon, Julie O'Neill, and Jesse Soslow
12/5/2012
Employment + Labor, Internet, Media + Entertainment, Licensing + Technology Transactions, Privacy + Data Security, Securities Litigation, Securities: Regulatory + Enforcement, Social Media
Newsletter
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
Startups, Accelerated
MoFo Tech Blog
11/12/2012
Securities: Regulatory + Enforcement
Article
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.
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
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
Socially Aware:
The Social Media Law Update - Volume 3, Issue 4
John Delaney, Gabriel Meister, Aaron Rubin, Jay Baris, Nicholas Datlowe, Anna Ferrari, D. Reed Freeman, J. Lawrence, Daniel Levison, and Julie O'Neill
8/7/2012
Employment + Labor, Internet, Media + Entertainment, Licensing + Technology Transactions, Privacy + Data Security, Securities Litigation, Securities: Regulatory + Enforcement, Social Media
Newsletter
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
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
Supreme Court to Revisit the Fraud-on-the-Market Presumption
Jordan Eth and Mark Foster
6/11/2012
Appellate + Supreme Court, Commercial Litigation, Public Companies Counseling + Compliance, Securities Litigation, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Client Alert
Socially Aware:
The Social Media Law Update - Volume 3, Issue 3
John Delaney, Gabriel Meister, Aaron Rubin, Jessica Childress, Nicholas Datlowe, D. Reed Freeman, Heidi Johanns, Matthew King, J. Lawrence, Leo Martin, Julie O'Neill, and Cecilia Ziniti
6/5/2012
Internet, Media + Entertainment, Licensing + Technology Transactions, Privacy + Data Security, Securities Litigation, Securities: Regulatory + Enforcement, Social Media
Newsletter
Pitfalls for Broker-Dealers: Selling Novel and Complex Products
Securities Litigation, ABA, Vol. 22 No. 3
Daniel Nathan
Spring 2012
Broker-Dealer Compliance + Regulation, Internal Investigations, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Article
Reprinted with permission. ABA Section of Litigation -Securities Litigation Committee.
Socially Aware:
The Social Media Law Update - Volume 3, Issue 2
Anelia Delcheva, Sherman Kahn, Jacob Kaufman, David Lynn, Julie O'Neill, William Schuerman, and Cecilia Ziniti
4/5/2012
Employment + Labor, Internet, Media + Entertainment, Licensing + Technology Transactions, Privacy + Data Security, Securities Litigation, Securities: Regulatory + Enforcement, Social Media
Newsletter
Supreme Court Rejects Open-Ended Tolling of Section 16(b) Claims
Jordan Eth, Mark Foster, Joel Haims, and Deanne Maynard
3/27/2012
Appellate + Supreme Court, Commercial Litigation, Financial Services Litigation, Public Companies Counseling + Compliance, Securities Litigation, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Client Alert
The Future of Control Person Liability after Janus
Securities Litigation Report, Vol 9, Issue 2
Darryl Rains
February 2012
Appellate + Supreme Court, Public Companies Counseling + Compliance, Securities Litigation, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Article
Reprinted with permission from the Securities Litigation Report.
Copyright © 2012 Thomson Reuters.
Janus and its Impact on Mutual Funds
INSIGHTS, Volume 25, Number 10
Darryl Rains, Eugene Illovsky, and Jay Baris
10/2011
Financial Institutions + Financial Services, Investment Management, Securities Litigation, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Article
Reprinted from INSIGHTS, October 2011, Volume 25, Number 10, pages 14-22, with permission from Aspen Publishers, a Wolters Kluwer business, New York
Point-Counterpoint: Dodd-Frank Whistleblower Rules
Securities Law360
Jordan Eth Jordan Thomas
8/9/2011
Capital Markets, Employment + Labor, FCPA + Anti-Corruption, Internal Investigations, Investment Management, Public Companies Counseling + Compliance, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement, White-Collar Defense
Article
SEC Implements Advisers Act Provisions of Dodd-Frank; Extends Investment Adviser Registration Deadlines
Jay Baris, Thomas Devaney, Charles Farman, Paul 'Chip' Lion, Ken Muller, Robert Putney, Christopher Russell, Sean Byrne, Isabelle Sajous, and Stephanie Thomas
6/24/2011
Emerging Companies + Venture Capital, Financial Institutions + Financial Services, Investment Management, Private Equity Funds, Private Equity Investments + Buyouts, Securities: Regulatory + Enforcement
Client Alert
Dodd-Frank and the New Enforcement Environment
ACC Docket
Jordan Eth and Monica Palko
June 2011
FCPA + Anti-Corruption, Public Companies Counseling + Compliance, Securities Litigation, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Article
Reprinted with permission of ACC Docket.
A Divided SEC Issues Final Dodd-Frank Whistleblower Program Rules
Jordan Eth, Randall Fons, and Justin Hoogs
5/25/2011
Capital Markets, Employment + Labor, FCPA + Anti-Corruption, Internal Investigations, Investment Management, Public Companies Counseling + Compliance, Securities Litigation, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement, White-Collar Defense
Client Alert
Delaware Court Upholds Airgas Poison Pill Defense, Affirming Right of Board to Continue Saying “No”
Air Products v. Airgas
Michael O'Bryan
2/28/2011
Commercial Litigation, Corporate Governance, Mergers + Acquisitions, Public Companies Counseling + Compliance, Securities: Regulatory + Enforcement
Client Alert
FCPA Backgrounder:
What You Need to Know About the Foreign Corrupt Practices Act (“FCPA”)
Randall Fons, Paul Friedman, Carl Loewenson, Robert Salerno, Daniel Levison, Sherry Yin, and Kevin Roberts
9/20/2010
China, Corporate, FCPA + Anti-Corruption, Internal Investigations, Israel, Japan, Liability Management, Litigation, Mergers + Acquisitions, Public Companies Counseling + Compliance, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement, White-Collar Defense
Client Alert
Revisiting Your Key Corporate Governance and Disclosure Policies
David Lynn, Brandon Parris, and Andrew Thorpe
8/2/2010
Capital Markets, Corporate, Corporate Governance, Public Companies Counseling + Compliance, Securities: Regulatory + Enforcement
Client Alert
The long arm of the regulators
Kevin Roberts
5/13/2010
Litigation + Dispute Resolution | Europe, Securities: Regulatory + Enforcement
Article
United States Supreme Court Hears Oral Argument on the “Extraterritorial” Application of the Securities Exchange Act
Mia Mazza and Brian Matsui
3/29/2010
Appellate + Supreme Court, Litigation, Public Companies Counseling + Compliance, Securities: Regulatory + Enforcement
Client Alert
Emission Critical: SEC Asked To Rethink Climate Disclosure
Wall Street Journal
Mia Mazza
3/18/2010
Cleantech, Securities Litigation, Securities: Regulatory + Enforcement
Article
Attorneys Speculate on Value of SEC Carbon Disclosure
EP Magazine
Mia Mazza and Andrew Thorpe
3/8/2010
Cleantech, Securities Litigation, Securities: Regulatory + Enforcement
Article
SEC Guidance Signals Need to Ramp Up Review of Climate Disclosure, Attorneys Say
BNA Corporate Accountability Report, Vol. 8, No. 184
Mia Mazza
2/26/2010
Cleantech, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Article
Posted with permission by BNA, Inc.
Insider Trading: 2009 Review
2/19/2010
Corporate, Corporate Governance, Litigation, Public Companies Counseling + Compliance, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Client Alert
The Enforcement Emphasis on Both Sides of The Pond
Strategic RISK
Randall Fons, Brian Hoffman, and Kevin Roberts
Randall J. Fons
Brian Neil Hoffman
Kevin Roberts
November 2009
Internal Investigations, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement
Article
The Government Revamps Its Weapon Against False Claims: The New Amendments to the False Claims Act
Ryan Hassanein
5/24/2009
Government Contracts, Internal Investigations, Life Sciences, Litigation, Securities Litigation, Securities Litigation, Enforcement + White-Collar Defense, Securities: Regulatory + Enforcement, White-Collar Defense
Client Alert
Divided SEC Proposes Rules to Permit Shareholder Access to a Company’s Proxy Statement for Director Nominations
Lawrence Bard, David Lynn, and William Schuerman
5/21/2009
Corporate, Financial Institutions + Financial Services, Securities: Regulatory + Enforcement
Client Alert
Far-Reaching Shareholder Bill of Rights Introduced in Senate
Jeremy Schropp, Lawrence Bard, and David Lynn
5/20/2009
Corporate, Financial Institutions + Financial Services, Securities: Regulatory + Enforcement
Client Alert
NYSE Eliminates Press Release Requirement and Revises Notification Standards for Listed Companies
Jacob Bernstein, Lawrence Bard, and David Lynn
5/8/2009
Corporate, Financial Institutions + Financial Services, Securities: Regulatory + Enforcement
Client Alert
PCAOB Issues Staff Audit Practice Alert on Fair Value Determinations and OTTI
Jeremy Schropp, Lawrence Bard, and David Lynn
4/29/2009
Corporate, Financial Institutions + Financial Services, Securities: Regulatory + Enforcement
Client Alert
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