Author Archives: Sara Kropf

Initial Coin Offerings and What the SEC Might Think About Them: An Update

By Daniel Portnov Earlier this week I attended the DC Bar’s Communities program “Crypto Update: Current Issues Relating to Blockchain, Digital Assets and ICOs” featuring two members of the Commission’s staff – Assistant Director Jennifer Leete from the Enforcement Division and … Continue reading

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Defending Research Misconduct Cases (Part I – The Overview)

We’ve written about Office of Inspector General investigations several times (see here and here and here). But there’s a small component of OIG investigations that relate to scientific research misconduct. This is the first of multiple posts about research misconduct … Continue reading

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10 Quick Takes on Michael Cohen’s Recent Plea Agreement – And What Cohen and Roger Clemens Have in Common

Remember when everyone was talking about whether now-Justice Brett Kavanaugh was lying to Congress when he seemed a bit less-than-candid about his drinking in high school? Seems like a million years ago. Anyway, it turns out that lying to Congress … Continue reading

Posted in Congressional investigation, Perjury, Plea Agreement | Tagged | 1 Comment

SEC Investigations 101: Establishing the Pace and Scope

This post is the third in a series of posts for non-lawyers, or non-securities lawyers, who might suddenly find themselves on the wrong end of a Securities and Exchange Commission document request, subpoena or call from SEC’s Enforcement division staff. … Continue reading

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The Risk for President Trump (and Anyone Else) If He Answers Written Questions from a Prosecutor

Last week, news hit that Donald Trump had received written questions from Special Counsel Robert Mueller. More interesting, President Trump asserted he answered them “very easily.” Here’s what he said during the interview: I write the answers. My lawyers don’t … Continue reading

Posted in Criminal Investigation, False statements, Fifth Amendment, Grand jury, Perjury | Tagged | 1 Comment

SEC Investigations 101: Making Contact

By Dan Portnov This post is the second in a series of posts for non-lawyers, or non-securities lawyers, who might suddenly find themselves on the wrong end of a Securities and Exchange Commission document request, subpoena or call from SEC’s … Continue reading

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New Sentencing Guidelines Amendments Have Two Good Provisions for White Collar Criminal Defendants (and Lawyers)

On November 1, 2018, several new amendments to the Sentencing Guidelines went into effect. Two of them are quite positive developments for defendants—and their lawyers—in white-collar criminal cases. As a procedural matter, the new amendments were proposed by the U.S. … Continue reading

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SEC Investigations 101: How It All Begins

By Daniel Portnov This post kicks off a series for non-lawyers, or non-securities lawyers, who might suddenly find themselves on the wrong end of an SEC document request, subpoena or call from SEC Enforcement division staff. Receiving a call from … Continue reading

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Should Jurors Be Allowed to Ask Questions During a Criminal Trial?

The judge in one of my recent criminal trials allowed the jurors to ask questions. It was mostly fascinating, though there were a few scary moments too. On the one hand, it gave us valuable insight into what the jury … Continue reading

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Latest Developments in the SEC’s Cryptocurrency Enforcement

  By Daniel Portnov It’s been a busy 2018 for cryptocurrency enforcement by the SEC. Following statements by Chair Jay Clayton and Co-Director of Enforcement Stephanie Avakian announcing various cryptocurrency concerns, sweeps and initiatives,[1] several recent Commission enforcement actions have … Continue reading

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