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Documents on white collar crime
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|Un-Confidential Agreements: Another Brush Off An Attorney's Palette|
Michael A. Kaplan, Robert J. Kipnees; Lowenstein Sandler LLP;
October 11, 2013, previously published on October 2013On September 17, 2013, the SEC “announced enforcement actions against [twenty-three] firms for short selling violations.” Twenty-two of those firms agreed to settle the charges against them. The details of how those settlements came about will probably never be known, yet it is likely...
|SEC Awards Whistleblower More Than $14 Million - Largest Award to Date|
Sutherland Asbill Brennan LLP;
October 7, 2013, previously published on October 4, 2013In a press release issued on October 1, 2013, the U.S. Securities and Exchange Commission (SEC or Commission) announced its largest whistleblower award yet of $14 million. The recipient of the award is an individual whistleblower who reported information that led to a successful enforcement action...
|SEC Whistleblower Awarded Record $14 Million|
Jackson Lewis P.C.;
October 4, 2013, previously published on October 3, 2013The Securities and Exchange Commission (SEC) has announced that an unidentified whistleblower, “who voluntarily provided original information” to the SEC “that led to the successful enforcement” action against an undisclosed company, has been awarded a record $14 million....
|Mary Jo White Throws Down the Gauntlet: Vows to Wield the SEC's Full Enforcement Arsenal Against Corporate and Individual Wrongdoers|
Hillary S. Profita, Michael J. Rivera; Venable LLP;
October 4, 2013, previously published on September 2013Securities and Exchange Commission Chair Mary Jo White warned that the SEC will pull no punches under the leadership of the former federal prosecutor. During a speech delivered to the Council of Institutional Investors last week in Chicago, Ms. White stated that the SEC would use its enforcement...
|China Unveils a Blacklist System for Recording Bad Conduct and Foul Play in the Field of Outbound Investment and Foreign Trading|
Brian D. Beglin, Jin Wang, Xiaowei Ye; Bingham McCutchen LLP;
October 4, 2013, previously published on October 1, 2013On September 23, 2013, China’s Ministry of Commerce published a new trial measure jointly issued by it and eight other ministries that aims to collect and publish a list of Chinese and non-Chinese enterprises, organizations and individuals who have committed bad acts or engaged in foul play...
|The False Claims Act Public Disclosure Bar and the Meaning of “News Media”|
Berger Montague P.C.;
October 1, 2013Under the False Claims Act, 31 U.S.C. 3730(e)(4)(A)(iii), "the court shall dismiss an action or claim . . . unless opposed by the government, if substantially the same allegation or transaction as alleged in the action or claims were publically disclosed from the news media. Because...
|SEC Issues Risk Alert on Short Selling|
Parker B. Morrill, Michael J. Rivera; Venable LLP;
September 30, 2013, previously published on September 2013On September 17, 2013, the SEC’s Office of Compliance Inspections and Examinations (OCIE) issued a risk alert related to Rule 105 of Regulation M, which governs short selling prior to the pricing of certain offerings. This risk alert was issued the same day the SEC announced enforcement...
|Canada’s First “FCPA” Trial & Increased International Law Enforcement Cooperation|
Holland Hart LLP;
September 30, 2013, previously published on September 27, 2013The frequency and scope of international law enforcement cooperation has increased markedly in recent years. Although such cooperation has slowly emerged for decades, the recent explosion of cooperation has been facilitated in large part by the expansion of instantaneous international...
|Illinois County Recorders May Now Investigate Fraudulent Documents|
Carolyn Artus; Weltman, Weinberg & Reis Co., L.P.A.;
September 26, 2013, previously published on September 21, 2013 On July 19, 2013, the Governor of Illinois signed a new law to combat property fraud, effective immediately. The law provides that a county recorder may establish a "fraud referral and review" process for deeds and instruments that the county recorder reasonably believes may be...
|SEC Proposes Rule Requiring Public Companies to Disclose Pay Ratios|
Carmen M. Fonda, Parker B. Morrill, Eric R. Smith; Venable LLP;
September 25, 2013, previously published on September 2013On September 18, 2013, as required by the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, the SEC proposed rules requiring public companies to disclose the median of the annual total compensation of all employees, the annual total compensation of the CEO, and the ratio of the...