Newsletters

11.20.17

Insider Trading: Once More Into the Breach

On Aug. 23, 2017, the Second Circuit decided U.S. v. Martoma, in which the court affirmed a tippee’s conviction in an insider trading case based on the Supreme Court’s 2016 decision in Salman v. U.S. The Martoma opinion further eroded the Second Circuit’s own landmark 2014 ...


10.18.17

Supreme Court to Hear Important Whistleblower Case

Must an employee “whistleblower” specifically provide information about alleged corporate misconduct to the Securities and Exchange Commission (SEC) in order to get protection under the anti-retaliation provisions of Dodd-Frank?


07.31.17

Supreme Court Limits SEC’s Disgorgement Power

On June 5, 2017, the Supreme Court held in Kokesh v. SEC that the five-year statute of limitations found in 28 U. S. C. §2462 with respect to actions for civil monetary penalties applies equally to actions for disgorgement.


06.28.17

U.K. Court Finds No Privilege Protection for Internal Investigation

On May 8, 2017, a London High Court made a landmark ruling in favor of the Serious Fraud Office—England’s equivalent of the Fraud Section of the U.S. Department of Justice (DOJ)—in its quest to obtain documents prepared in an internal investigation that were claimed to be ...


05.30.17

Government Officials Pledge Continued White Collar Enforcement

Recent pronouncements by Attorney General Jeff Sessions, Acting Principal Deputy Assistant Attorney General Trevor N. McFadden and recently confirmed SEC chair Jay Clayton have provided assurances that the DOJ and SEC will continue to "vigorously enforce" white collar laws as a high ...


03.24.17

DOJ's New Guidance for Evaluating Corporate Compliance Programs

On February 8, 2017, the DOJ released, to little fanfare, a new guidance document entitled "Evaluation of Corporate Compliance Programs."


09.22.16

The Election’s Impact on Healthcare: Preparing for Potential Scenarios

Election 2016 will have a major impact on federal and state healthcare policy. To be prepared for all the possibilities, it’s critical to understand the political dynamics that will be in play under each potential scenario—and what they will mean for healthcare stakeholders.