Tag Archives: Banking industry

Releasing Corporate Monitor Reports after a Non-Prosecution Agreement

Peter Henning of the New York Times White Collar Watch published an interesting piece on February 8 about the confidentiality of reports filed by corporate monitors after a non-prosecution agreement against a company. The article describes a recent decision by … Continue reading

Posted in Deferred Prosecution Agreement, Non-Prosecution Agreement, Uncategorized | Tagged | Leave a comment

Keep Your Friends Close – The Second Circuit Strengthens Common Interest Privilege

The common interest (sometimes called “joint defense”) privilege serves an invaluable strategic role in complex white-collar cases. It allows the targets of an investigation to work together, without fear that the government will discover their communications or shared work product. … Continue reading

Posted in Joint Defense Agreements, Tax fraud, Uncategorized | Tagged | Leave a comment

Ninth Circuit Eases Burden on Government to Win a Bank Fraud Conviction

The Ninth Circuit Court of Appeals just made it easier for the government to win a conviction in a bank fraud case. It recently ruled that the government need prove only that the defendant intended to deceive the bank, and … Continue reading

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What Does the TD In TD Bank Stand For? Also, Did TD Bank’s Vice President Help Scott Rothstein’s Ponzi Scheme?

The SEC and the Office of the Comptroller of the Currency both claimed that TD Bank assisted Scott Rothstein—the Florida lawyer currently serving 50 years in prison for a Ponzi scheme—with committing fraud. The OCC contended that TD Bank violated … Continue reading

Posted in Investor fraud, SEC Investigation, Securities fraud | Tagged , , | 1 Comment