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Under Advisement: SEC Scrutinizes Wealth Management Industry

USA - March 21 2018 Recent events have made it clear that there is an increased regulatory focus on the conduct of investment professionals in the wealth-management...

Lex Urban, Kyle DeYoung, Dorothy D Mehta, Jason M. Halper.

SCOTUS Blows the Whistle: Internal Whistleblowers Take Note

USA - February 22 2018 A whistleblower is not a whistleblower unless he reports suspected securities law violations to the SEC. And, if the whistleblower does not report...

Lex Urban, Kyle DeYoung, Jodi L. Avergun.

Financial CHOICE Act Would Complicate the Choices in Bringing and Defending Against SEC Cases

USA - June 12 2017 Legislation passed by the U.S. House of Representatives threatens to shake up the Securities and Exchange Commission’s enforcement program in a...

Aaron Buchman, Joseph V. Moreno, Lex Urban, Jodi L. Avergun, Jason M. Halper.

New Sheriff In Town As Rolls-Royce Pays Record Penalty For Foreign Bribery And Corruption

USA, United Kingdom, Brazil - January 23 2017 On 17 January 2017, the UK Serious Fraud Office (“SFO”), the US Department of Justice (“DOJ”), and the Brazilian Ministério Público Federal...

Joseph V. Moreno, Steven Baker, Janaki Tampi, Jodi L. Avergun, Bret A. Campbell.

The Tenth Circuit Rules SEC Administrative Judges Are Unconstitutional, Setting Up Potential Supreme Court Review

USA - January 11 2017 The constitutionality of the SEC’s in-house administrative proceedings is in doubt following the 10th Circuit Court of Appeals’ ruling in Bandimere v...

Jodi L. Avergun, Douglas H. Fischer.