Results 1 to 5 of 36

SEC and DOJ Charge Board Member with Trading on Inside Information . . . During a Board Meeting

USA - October 25 2016 On Friday, the SEC filed a complaint against James C. Cope, a former member of the Executive Committee of Pinnacle Financial Partners' ("PFP") board…

Brian Hooven, Joshua M Newville

DOJ Moves to Dismiss Public Corruption Charges Against Former VA Governor

USA - September 16 2016 Last week, the U.S. Attorney’s Office for the Eastern District of Virginia moved to dismiss public corruption charges against former Virginia Governor…

Edward Canter

Whistleblower Concerns for Private Fund Advisers - Seven Mistakes To Avoid

USA - June 28 2016 As we have previously observed, private fund advisers face a difficult challenge when SEC guidance (in the form of a speech or a public enforcement…

Timothy W Mungovan, Joshua M Newville

SEC Increases Focus on Private Equity Enforcement

USA - May 13 2016 Yesterday, SEC Director of Enforcement Andrew Ceresney gave a keynote address on Private Equity Enforcement. In his remarks, Ceresney reiterated the…

Anthony M Drenzek, Joshua M Newville

10 Takeaways from Deputy Attorney General Sally Q. Yates’ Remarks at the 2016 New York City Bar Association White Collar Crime Conference

USA - May 13 2016 This week, Deputy Attorney General Sally Q. Yates delivered remarks at the New York City Bar Association reflecting on the eight months since the…

Lindsey A Olson