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Federal prosecutors unseal charges against Bitcoin exchange company
  • Buckley Sandler LLP
  • USA
  • January 31 2014

On January 27, the U.S. Attorney for the Southern District of New York announced the unsealing of criminal charges against an underground Bitcoin

Federal government seeks higher penalties in GSE fraud case
  • Buckley Sandler LLP
  • USA
  • January 31 2014

On January 29, the DOJ filed a supplemental brief in support of its claim for civil penalties following a jury verdict it obtained last October in

Grand jury indicts Swiss lawyer and banker in tax evasion scheme
  • Katten Muchin Rosenman LLP
  • USA
  • April 26 2013

A New York federal grand jury recently indicted a Swiss lawyer and bank executive for their roles in allegedly assisting US citizens with hiding

DOJ turns FCPA spotlight on financial services sector as enforcement efforts in Latin America continue
  • Morrison & Foerster LLP
  • USA
  • May 15 2013

Last week, the U.S. Department of Justice (DOJ) announced the indictment of two employees of a U.S. broker-dealer, Direct Access Partners, and a

SEC brings charges against SEC registered investment adviser for improperly allocating expenses and other violations of the Investment Advisers Act of 1940 (the “Advisers Act”)
  • Sheppard Mullin Richter & Hampton LLP
  • USA
  • March 25 2014

On February 25, 2014 the Securities and Exchange Commission (the "SEC") filed public administrative and cease-and-desist proceedings against

Ohio Supreme Court holds Statute of Frauds applies to defenses, too
  • Baker & Hostetler LLP
  • USA
  • March 24 2014

On March 6, 2014, the Supreme Court of Ohio held that the Statute of Frauds barred a group of guarantors from raising, as a defense to a collection

JP Morgan targeted by US regulators for lapses in risk management
  • De Brauw Blackstone Westbroek
  • USA
  • February 11 2013

The US Federal Reserve and the Office of the Comptroller of the Currency have taken official enforcement actions against JP Morgan Chase. These

DOJ, SEC announce more charges in broker-dealer foreign bribery case
  • Buckley Sandler LLP
  • USA
  • April 25 2014

On April 14, the DOJ and the SEC announced additional charges in a previously announced case against employees of a U.S. broker-dealer related to an

FinCEN targets Community Bank - $1.5 million penalty for failure to file suspicious activity reports
  • Reed Smith LLP
  • USA
  • March 10 2015

On February 27, 2015, the Financial Crimes Enforcement Network ("FinCEN") announced a $1.5 million civil penalty against the First National Community

Financial sanctions: recent cases, trends and holding banking executives personally liable for compliance failures
  • Day Pitney LLP
  • USA
  • March 4 2015

In the past year, a number of major financial institutions have been hit not just once, but twice by federal and state regulators for follow-on