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Results: 1-10 of 167

SEC Co-Chief of Division of Enforcement’s Asset Management Unit identifies 2015 exam priorities for hedge and private equity funds

  • Sheppard Mullin Richter & Hampton LLP
  • -
  • USA
  • -
  • January 27 2015

On November 18, 2014, Julie M. Riewe, Co-Chief of the Division of Enforcement's Asset Management Unit of the Securities and Exchange Commission (the

Second Circuit notes split with Ninth Circuit over whether failure to make adequate disclosures under item 303 of Regulation S-K may serve as basis for a Section 10(b) claim

  • Sheppard Mullin Richter & Hampton LLP
  • -
  • USA
  • -
  • January 26 2015

In Stratte-McClure v. Morgan Stanley, No. 13-0627-cv, 2015 WL 136213 (2d Cir. Jan. 12, 2015), the United States Court of Appeals for the Second

Never let them see you comingkeys to setting up witnesses interviews in an internal investigation

  • Sheppard Mullin Richter & Hampton LLP
  • -
  • USA
  • -
  • January 22 2015

"So you are the great lawyer I've been told about! But, you are so young! I was expecting an old lawyer." With those words, the silver-haired

First Circuit reaffirms FCA’s “first-to-file” bar as a broad jurisdictional limit

  • Sheppard Mullin Richter & Hampton LLP
  • -
  • USA
  • -
  • January 22 2015

In early December 2014, the United States Court of Appeals for the First Circuit reaffirmed that circuit's broad interpretation of the False Claims

New year, New Orleans, old tricks

  • Sheppard Mullin Richter & Hampton LLP
  • -
  • USA
  • -
  • January 15 2015

The Department of Justice’s Kleptocracy Initiative is kicking off 2015 strong. On January 13, 2015, the DOJ filed a civil complaint seeking the

Second Circuit limits “tippee” insider trading liability

  • Sheppard Mullin Richter & Hampton LLP
  • -
  • USA
  • -
  • December 11 2014

In United States v. Newman, No. 13-1837 (2d Cir. Dec. 10, 2014), the United States Court of Appeals for the Second Circuit reversed the 2013

Second Circuit affirms tippee liability

  • Sheppard Mullin Richter & Hampton LLP
  • -
  • USA
  • -
  • December 11 2014

On December 10, 2014, the Second Circuit Court of Appeals rendered a decision regarding an insider trading case that affirmed the elements to prove

DOJ issues opinion, provides (some) comfort on successor liability

  • Sheppard Mullin Richter & Hampton LLP
  • -
  • USA
  • -
  • December 4 2014

In a recent Opinion Procedure Release (OPR), Number 14-02, the U.S. Department of Justice expressly limited successor liability for a US company

Take the mansion, but leave the thriller jacket: DOJ settles with Equatorial Guinea veep for $30 million in assets bought with corrupt proceeds

  • Sheppard Mullin Richter & Hampton LLP
  • -
  • Africa, USA
  • -
  • November 6 2014

On October 10, 2014, the U.S. Department of Justice announced a civil settlement with Teodoro (“Teddy”) Nguema Obiang, Vice President of

Recent developments in cases dealing with the False Claims Act’s first-to-file and public disclosure bars

  • Sheppard Mullin Richter & Hampton LLP
  • -
  • USA
  • -
  • October 28 2014

The False Claims Act, 31 U.S.C. 3729-3733, enables whistleblowersalso known as qui tam relators to file fraud suits on