Tag Archives: Banking industry

Releasing Corporate Monitor Reports after a Non-Prosecution Agreement

Posted on February 10, 2016 by

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

Posted on January 20, 2016 by

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

Posted on May 30, 2015 by

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 →

Posted in Appeal, Bank fraud | Tagged | Leave a comment

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

Posted on October 10, 2013 by

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