Articles: 1-10 of 207
Supreme Court to Review Second Circuit Decision on Whistleblower Retaliation
USA - May 9 2023 On May 1, 2023, the United States Supreme Court granted a writ of certiorari filed by alleged whistleblower against his former employer, a financial…
CFTC Charges Digital Asset Exchange And Its Founder With Violating The Commodity Exchange Act And Commission Regulations
USA - April 18 2023 On March 27, 2023, the Commodity Futures Trading Commission (“CFTC”) filed a civil enforcement action against three entities that operate a digital…
Brazilian Mining Company To Pay $55.9 Million To Settle SEC Charges Of Misleading ESG Disclosures
Brazil, USA - April 18 2023 On March 28, 2023, the Securities and Exchange Commission (“SEC”) submitted a settlement agreement (“settlement”) to the United States District Court…
Supreme Court Holds That Structural Challenges To Agency Administrative Proceedings May Be Broad Directly In Federal Court
USA - April 18 2023 On April 14, 2023, the United States Supreme Court issued a unanimous decision in the consolidated cases of Axon Enterprises Inc. v. FTC and SEC v…
DOJ And SEC Charge Individual For Insider Trading Through Use Of 10b5-1 Trading Plans
USA - March 24 2023 On March 1, 2023, the Department of Justice (“DOJ”) unsealed an indictment against the founder, CEO, and Chairman of a publicly traded health care…
Telecommunications Company Agrees To Plead Guilty Following Alleged Breach Of 2019 Deferred Prosecution Agreement
USA - March 24 2023 On March 2, 2023, the Department of Justice (“DOJ”) announced that a multinational telecommunications company headquartered in Stockholm, Sweden (the…
Sterling Bancorp Pleads Guilty To Criminal Securities Fraud
USA - March 24 2023 On March 15, 2023, the Department of Justice (“DOJ”) announced that Michigan-based bank Sterling Bancorp, Inc. (“Sterling”) agreed to plead guilty to…
SEC Charged McDonald’s For Public Disclosure Violations Related To The Board’s Exercise Of Discretion Respecting The Former CEO’s Termination And Charged The Former CEO For Fraud
USA - February 28 2023 On January 9, 2023, the Securities Exchange Commission (“SEC”) issued a cease-and-desist order (“the Order”) against McDonald’s Corporation (the…
United States Department Of Justice Issues Voluntary Self-Disclosure Policy Pursuant To Deputy Attorney General’s September 15, 2022, Memorandum
USA - February 28 2023 On February 22, 2023, the United States Department of Justice (“DOJ”) issued the United States Attorney’s Offices’ Voluntary Self-Disclosure Policy…
SEC Brings Enforcement Action Over Company’s Alleged Failure To Track Information About Workplace Misconduct Relevant To Risk Factor Disclosures About Employee Retention
USA - February 14 2023 On February 3, 2023, the Securities and Exchange Commission (“SEC”) announced a settled enforcement action against video game maker Activision…
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