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Recent Posts
- Can the Government Seek Forfeiture of a Criminal Defense Attorney’s Fees? (Part 1)
- OIG Investigations in the Time of Coronavirus: Time and Attendance Fraud by Federal Employees
- Cell Site Evidence is Junk Science (and a Recent DC Opinion Could Help Keep It Out of Court)
- The Advantages of Small Firms (And Kropf Moseley Is Hiring)
- Is DOJ Stuck With Its Positions in the “Updated” Roger Stone Sentencing Memo?
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Category Archives: SEC Settlement
SEC Investigations 101: The Endgame
This post is the eighth 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 Enforcement division staff. By Dan … Continue reading
Don’t Tread on the SEC’s Whistleblower Program (Through Confidentiality Agreements)
Whistleblowers are a problem for corporations and a boon for the SEC. The SEC relies in part on whistleblowers to identify possible wrongdoing within publicly-traded companies. From the agency’s perspective, the employees and officers of a company are in the … Continue reading
Posted in SEC Settlement
Tagged Confidentiality agreements, Defense industry, Whistleblowers
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Treating Individuals Like Corporations—But In a Good Way: SEC’s First Deferred Prosecution Agreement With an Individual
Since January 2010, corporations facing SEC investigations had one big advantage over individuals: they could seek a deferred prosecution agreement. DPAs allow companies that committed wrongdoing to avoid prosecution, most often by undertaking significant compliance efforts, or engaging a corporate … Continue reading
Posted in Deferred Prosecution Agreement, Investor fraud, SEC Settlement, Securities fraud
Tagged Hedge fun
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Seven Fun Ways To Commit Insider Trading
There have been several high-profile insider trading cases recently. I can’t do justice to the facts of all the recent cases, but here’s a quick sampling of some of the more interesting cases. 1. Use a Facebook Friend. Badin Rungruangnavarat, … Continue reading
Maybe the Third Time’s a Charm: SEC Charges Oppenheimer Private Equity Fund Manager with Misleading Investors
The website for private investment company Oppenheimer & Co. says the company traces its roots back to the 1870s and a gentleman named Harris C. Fahnestock. Mr. Fahnestock was apparently an investment advisor to President Abraham Lincoln. The website carefully … Continue reading
Posted in SEC Investigation, SEC Settlement, Securities fraud
Tagged Private equity industry
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First Is the Worst: SEC Forces Hedge Fund Manager To Admit Wrongdoing Under New Policy
It’s not often that someone wishes the government investigated him earlier. But Philip Falcone, the hedge fund advisor for Harbinger Capital, may be wishing exactly that. Mr. Falcone and Harbinger Capital recently agreed to settle an SEC investigation against them … Continue reading
There’s At Least One Company Out There With the, um, Guts To Stand Up To The Government
The government’s insider-trading investigation into SAC Capital Advisors, a Connecticut-based hedge fund that manages in excess of $15 billion, has been the subject of many press articles. But since neither the company, nor its leader Steven A. Cohen, has been … Continue reading
Quick Cases: Insider Trading
This is the first of what will be recurring posts that offer quick summaries of similar cases. Think of them as the Kay and Peele version of my blog posts, though not nearly as funny and always safe for work. … Continue reading
WPO + Forum 91 + Florida Keys = Insider Trading Claims Against Former Office Depot President
A former corporate executive was recently sued by the SEC for insider trading based on information he learned during meetings of the World Presidents’ Organization (“WPO”). Mark Begelman, who lives in Florida, is no stranger to corporate governance. Begelman was … Continue reading
