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Here’s looking at you, FINRA—The possible implications of “extraordinary cooperation” and Regulatory Notice 19-23 on FINRA enforcement settlements

USA - July 17 2019 In October 2005, we wrote an article titled “Cooperation, Only More So: What it Takes to Receive Credit for Cooperating with NASD.”1 The title came…

Patricia A. Gorham, John H. Walsh, W. Scott Sorrels, Carmen L. Brun, Peter J. Anderson, Eric A. Arnold, Bruce M. Bettigole, Olga Greenberg, Issa J. Hanna, Clifford E. Kirsch, Michael B. Koffler, Susan S. Krawczyk, Neil S. Lang, Ben Marzouk, S. Lawrence Polk, Adam C. Pollet, Brian L. Rubin, Amelia Toy Rudolph, Sarah Razaq Sallis, Holly H. Smith.

Here’s looking at you, FINRA—the possible implications of “extraordinary cooperation” and Regulatory Notice 19-23 on self-reporting under Rule 4530

USA - July 16 2019 In October 2005, we wrote an article titled “Cooperation, Only More So: What It Takes to Receive Credit for Cooperating with NASD.”1 The title came…

Patricia A. Gorham, John H. Walsh, W. Scott Sorrels, Carmen L. Brun, Peter J. Anderson, Eric A. Arnold, Bruce M. Bettigole, Olga Greenberg, Issa J. Hanna, Clifford E. Kirsch, Michael B. Koffler, Susan S. Krawczyk, Neil S. Lang, Ben Marzouk, S. Lawrence Polk, Adam C. Pollet, Brian L. Rubin, Amelia Toy Rudolph, Sarah Razaq Sallis, Holly H. Smith.

Multinational, coordinated resolutions for international companies?

France, OECD, USA - October 2 2018 On June 4, 2018, Socit Gnrale S.A., together with a subsidiary of this Paris-based global financial services institution, announced an agreement with…

Olga Greenberg, Sophie Scemla, Yvonne M. Williams-Wass, Ronald W. Zdrojeski.

In a first coordinated resolution, US and French authorities announce agreement to settle criminal charges with Paris-based Société Générale S.A.

France, USA - June 12 2018 On June 4, 2018, Société Générale S.A., together with a subsidiary of the Paris-based global financial services institution, announced an agreement…

Olga Greenberg, Sophie Scemla, Yvonne M. Williams-Wass, Ronald W. Zdrojeski.

Rod Rosenstein announces DOJ directive to avoid "piling on" of penalties; suggests focus on enforcement against individuals

USA - May 21 2018 On May 9, 2018, in speech before the New York City Bar White Collar Crime Institute, Deputy Attorney General Rod Rosenstein stated the US Department…

Olga Greenberg, Ronald W. Zdrojeski.