Category Archives: civil case

Where Are They Now? The First-Ever Case Against a Compliance Officer over Failure to Implement Anti-Money Laundering Program

Nearly two years ago, I wrote about the government’s civil complaint filed against the former Chief Compliance Officer of MoneyGram. The defendant in that case is still fighting and the case appears headed for trial. As a quick reminder of … Continue reading

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Fight the Power, Part III: The David Ganek Complaint

In Part I of the series, I introduced the idea that defense counsel are increasingly fighting back against DOJ in creative ways. In Part II, we talked about Sheldon Silver and his defense counsel’s efforts to use DOJ’s very public … Continue reading

Posted in civil case, DOJ policy and practice, Fifth Amendment, Fourth Amendment, Insider Trading, Prosecutorial misconduct, Search warrant, Securities fraud | Tagged | Leave a comment

When Criminal Defense and Civil Litigation Collide—Taking the Fifth in Civil Litigation

Most criminal defense lawyers would have no idea how to draft an interrogatory. That’s ok; it doesn’t come up in their practices. And most lawyers who handle civil cases would have no idea how to advise a client whose testimony … Continue reading

Posted in civil case, Fifth Amendment, Uncategorized | 1 Comment

Can You Be Liable Because of Your Job Title? Control Person Liability and Jon Corzine

One of the primary differences between criminal and civil liability is that criminal liability requires the government to prove that the defendant acted wrongfully. In a civil case, an employer may be held liable under a theory of respondeat superior … Continue reading

Posted in CFTC case, civil case, Uncategorized | Tagged | 1 Comment

When Your Engagement Letter’s Indemnification Clause Is a Lifesaver: The Penn State Sexual Abuse Scandal

After an internal investigation, the company being investigated must decide whether it wants the law firm (or investigative firm) to author a report of the investigation’s conclusions. The results of this decision may have unintended consequences for both the company … Continue reading

Posted in civil case, Uncategorized | Tagged | 1 Comment

First-Ever Case Against Chief Compliance Officer For Failure To Implement Anti-Money Laundering Program at MoneyGram

A Chief Compliance Officer (CCO) ensures that the Board of Directors, management and employees comply with the rules and regulations of regulatory agencies and the company’s own policies and procedures. What happens, then, when the CCO is personally accused of … Continue reading

Posted in civil case, Compliance, Money Laundering | Tagged , | 5 Comments

Collateral Damage: FCPA-Related Non-Prosecution Agreement for Hewlett-Packard Leads to Civil RICO Lawsuit

A non-prosecution agreement is a wonderful thing. But it may not mean the end of the woes for a company under government investigation. Hewlett-Packard (HP), the California-based technology firm, and its Mexican subsidiary, HP Mexico, entered into an NPA with … Continue reading

Posted in civil case, FCPA, Non-Prosecution Agreement, RICO | Tagged | Leave a comment