‘Enforcement 40′ for 2017
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Meet the former prosecutor who became the face of crypto VC investing
Haun’s view on cryptocurrency has evolved, and so has her career path. After spending much of her professional life prosecuting prison gangs, corrupt officials, and the mafia, she’s now the first female general partner at Silicon Valley investing powerhouse Andreessen Horowitz. Haun runs the $350 million cryptocurrency fund that launched last summer and was an […]
ANALYSIS: Lack of Removal Power Could Threaten SEC ALJ Regime
Are the job security provisions enjoyed by SEC administrative law judges unconstitutional? The Supreme Court majority kicked that question down the line in its 2018 Lucia v. SEC decision. The Fifth Circuit may just have picked it up, as a three-judge panel enjoined an administrative rehearing of a pre-Lucia accounting violations case against Michelle Cochran. […]
U.S. Attorney General William P. Barr Delivers Remarks at the U.S. Securities and Exchange Commission’s Criminal Coordination Conference | OPA | Department of Justice
The cooperation between our two agencies is not new. The DOJ has long considered the SEC an indispensable partner in protecting markets and investors, promoting lawful commerce around the world, and deterring misconduct. Our two agencies have closely coordinated on a wide range of matters, and our cooperation has only grown as financial matters have […]
Accomplished Litigator Tanya Greene Joins McGuireWoods as a Partner in Los Angeles | McGuireWoods
Tanya L. Greene has joined McGuireWoods’ Complex Commercial Litigation Department as a partner in downtown Los Angeles, bringing extensive experience leading business litigation matters for Fortune 100 clients in heavily regulated industries, including finance, technology, aerospace and petroleum. via Accomplished Litigator Tanya Greene Joins McGuireWoods as a Partner in Los Angeles | McGuireWoods.
Holmes attorneys blast prosecution over government documents in Theranos hearing
Holmes and Balwani argue documents from U.S. agencies including the Food and Drug Administration and the Centers for Medicare and Medicaid Services are crucial in rebutting charges that they knew Theranos blood tests were inaccurate and misrepresented capabilities to investors, doctors and patients. Defense attorneys pressed U.S. District Judge Edward Davila to get the government […]
SEC Official Tempers Enforcement Expectations, Warns on Quotas
The Securities and Exchange Commission is still compiling official statistics, but its volume of enforcement actions over the past 12 months shouldn’t be much different from prior fiscal years, said Steven Peikin, co-director of the agency’s Enforcement Division. The SEC typically releases its own enforcement data in the weeks after the fiscal year ends Sept. […]
Robert Mueller rejoins former law firm WilmerHale after Russia probe
Former special counsel Robert Mueller will return to his partnership at WilmerHale after the investigation into Russian meddling in the 2016 election formally wrapped up in March. Mueller’s practice will center on “high-profile investigations and crisis management,” the multi-national law firm said in a press release. via Robert Mueller rejoins former law firm WilmerHale after […]
Former Billionaire Eike Batista Convicted for Insider Trading – Bloomberg
Eike Batista, formerly Brazil’s richest man, was sentenced to an additional eight years and seven months of prison time on Monday for insider trading. Batista, 62, had already been convicted for paying $16.6 million to get government contracts as part of a sprawling corruption probe known as Carwash and sentenced to 30 years, which he […]
Is it worth co-operating with the Serious Fraud Office? – FTAdviser.com
The Serious Fraud Office has published its Corporate Co-operation Guidance, outlining the level of co-operation required if an entity hopes to avoid a criminal prosecution or to enter into a Deferred Prosecution Agreement (DPA). This includes identifying suspected wrongdoing, self-reporting, and preserving and providing evidence. However, there is a caveat: even “full, robust co-operation” is […]
SEC Commissioners testify to House Committee – Cooley PubCo
All five SEC Commissioners testified yesterday at an oversight hearing held by the House Financial Services Committee, the first time all five have appeared since 2007, according to Chair Maxine Waters. (Here is their formal testimony.) These hearings are, of course, broken up into bite-size five-minute Q&A sessions, so there is not much opportunity for […]