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CFPB refers first case for criminal prosecution

McGuireWoods LLP
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USA
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May 23 2013

On May 1, 2013, federal prosecutors in the Southern District of New York brought the first criminal case based on a referral from the Consumer

Adequacy of counsel, attorneys' fees, and malpractice - Wyly v Weiss

McGuireWoods LLP
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USA
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October 16 2012

In 1998, the class action plaintiffs' firm Milberg Weiss filed sued Computer Associates for violating the federal securities laws by lying about its revenues in order to increase its stock price

Second Circuit eases SEC's burden in "aiding and abetting" cases

McGuireWoods LLP
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USA
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August 12 2012

This week the U.S. Court of Appeals for the Second Circuit “lowered the bar” for the U.S. Securities and Exchange Commission to successfully bring enforcement actions against “aiders and abettors” of securities fraud

Guilt by position: re-emergence of the responsible corporate officer doctrine

McGuireWoods LLP
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USA
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May 16 2012

In recent years, the federal government has made no secret of its intent to pursue individuals in addition to companies in its efforts to enforce healthcare-related statutes, rules and regulations

Classic cases - Kirkpatrick v. JC Bradford & Co

McGuireWoods LLP
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USA
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November 15 2011

For fourteen years, from 1970 to 1984, more than 150,000 people bought stock in Petro-Lewis and its limited partnerships

Surowitz v. Hilton Hotel Corp.

McGuireWoods LLP
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USA
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October 18 2011

Dora Surowitz, a seamstress and a widow, was a Polish immigrant with very little English

Identifying and resolving fraud and corruption cases in the US and the UK: Part IV (deferred and non-prosecution agreements)

McGuireWoods LLP
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United Kingdom, USA
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September 2 2011

In order to entice corporates to voluntarily disclose instances of fraud and corruption, meaningfully cooperate with government investigations, andor undertake remedial measures, the US Department of Justice and Securities and Exchange Commission will, in appropriate circumstances, enter into Deferred Prosecution Agreements (DPAs) and Non-Prosecution Agreements (NPAs) with corporations

Company pleads guilty to falsifying documents in HSR filing

McGuireWoods LLP
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USA
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August 23 2011

On August 15, 2011, Nautilus Hyosung Holdings Inc., a Delaware corporation, agreed to plead guilty to two felony charges for submitting false documents to the Federal Trade Commission (FTC) and U.S. Department of Justice (DOJ) in connection with its proposed acquisition of a competing manufacturer of ATM systems

Supreme Court clarifies who "makes" a statement under Rule 10b-5

McGuireWoods LLP
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USA
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June 14 2011

Yesterday, in a 5-4 split decision, the United States Supreme Court ruled that for purposes of SEC Rule 10b-5, a mutual fund investment advisor cannot be held liable for material misstatements in its client’s prospectus because those statements are ultimately controlled by the client

Fidelity National Financial Inc. v. Friedman

McGuireWoods LLP
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USA
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June 9 2011

In 2002, Fidelity National Financial Inc. was awarded a judgment of $13.5 million against Colin and Hedy Friedman (the Friedmans) and Farid Meshkatai and Anita Kramer Meshkatai (the Meshkatais

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