On June 25, 2018, a divided panel of the U.S. Court of Appeals for the Second Circuit issued an amended decision in United States v. Martoma. In its initial decision, the Second Circuit e...
On June 12, 2018, the New York Court of Appeals overruled longstanding Appellate Division precedent and held that fraud claims brought by the New York Attorney General (“NYAG”) under ...
The Supreme Court’s opinion in Lucia v. SEC, holding that SEC ALJs qualify as Officers of the United States under the Constitution and are therefore subject to the Appointments Clause o...
On May 9, 2018, in remarks to the New York City Bar Association’s Seventh Annual White Collar Crime Institute, Deputy Attorney General Rod Rosenstein announced a new Department of Justi...
On March 28, 2018, the Securities and Exchange Commission (“SEC”) announced settlements with Aegis, Inc. (“Aegis”), a registered broker-dealer, and two of its officers for alleged...
On February 21, 2018, in Digital Realty Trust, Inc. v. Somers, [1] the Supreme Court held that the Dodd-Frank Act’s whistleblower anti-retaliation provisions only apply where a securiti...
On November 29, 2017, the Solicitor General filed a brief in the Supreme Court on behalf of the Securities and Exchange Commission (“SEC”) reversing the agency’s position and arguin...
On November 29, 2017, Deputy Attorney General Rod Rosenstein announced a new Department of Justice FCPA Corporate Enforcement Policy, in his remarks at the 34th International Conference o...
On October 26, 2017, Stephanie Avakian and Steven Peikin, Co-Directors of the U.S. Securities and Exchange Commission’s Division of Enforcement, provided remarks at the 2017 Securities ...
On October 6, 2017, Deputy Attorney General Rod Rosenstein provided remarks at the NYU Program on Corporate Compliance & Enforcement on Department of Justice (“DOJ” or the “Departme...
