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The SEC’s litigation against a firm for allegedly inadequate disclosure of shareholder service fees and 12b-1 fees

USA - January 28 2019 During the past several years, the US Securities and Exchange Commission (SEC) has settled more than a dozen cases where the SEC alleged (with the...

Eric A. Arnold, Sarah Razaq Sallis, Neil S. Lang, Amber S. Unwala, S. Lawrence Polk, Amelia Toy Rudolph, Holly H. Smith, W. Scott Sorrels, Patricia A. Gorham, John H. Walsh, Clifford E. Kirsch, Michael B. Koffler, Susan S. Krawczyk, Brian L. Rubin, Bruce M. Bettigole, Olga Greenberg.


Legal Alert: The Department of Justice (DOJ) issues new guidance on choice of compliance monitors for FCPA and other criminal division cases

USA - October 16 2018 On October 12, 2018, Brian Benczkowski, Assistant Attorney General for the Criminal Division of the United States Department of Justice (DOJ)...

Ronald W. Zdrojeski, Melissa A. Conrad-Alam, Meghana D. Shah, Lewis S. Wiener, Andrea L. Gordon, Amelia Toy Rudolph, Jeffrey P. Bialos, W. Scott Sorrels, Yvonne M. Williams-Wass, Patricia A. Gorham, Brian L. Rubin, Bruce M. Bettigole, Jack Massey, Olga Greenberg.


SEC Cooperation Leads to Waiver of Privilege

USA - December 7 2017 On December 5, 2017, a Florida federal magistrate judge ordered a law firm to turn over interview notes and memoranda from an internal investigation...

Yvonne M. Williams-Wass, Olga Greenberg.


FinCEN Issues Advisory to Financial Institutions on Suspicious Activity Reports of Cyber-Events and Cyber-Enabled Crime

USA - October 31 2016 On October 25, the Financial Crimes Enforcement Network (FinCEN), one of the U.S. Department of the Treasury's lead agencies in the fight against...

Ronald W. Zdrojeski, Amelia Toy Rudolph, Yvonne M. Williams-Wass, Brian L. Rubin.


Incentive Compensation for Employees: Instead of Increasing Banks' Bottom Lines, These Arrangements May Increase the Risk of Fines

USA - October 26 2016 The New York State Department of Financial Services (DFS) recently issued guidance to regulated banking institutions (Institutions) prohibiting them...

Ronald W. Zdrojeski, Sarah Q. Chaudhry, Meghana D. Shah, W. Scott Sorrels.