White Collar Crime

  • The Growing Risk of Providing Oral Summaries

    Preserving Privilege in the Wake of SEC v. Herrera and the Government's Increasing Leverage to Obtain Such Disclosures

    A Magistrate Judge of the U.S. District Court for the Southern District of Florida held that an “oral download” of outside counsel's interview notes to the SEC resulted in a limited waiver of protection under the attorney work-product doctrine over the underlying interview notes and memoranda. The decision is a significant one, and underscores one of the core challenges facing companies seeking to cooperate with the government during the course of its investigations.

    May 01, 2018Marjorie J. Peerce and Brad Gershel

  • In the Courts

    Tenth Circuit Lowers Investment Advisor's Disgorgement from $35 to $5 Million

    May 01, 2018Dennis Mahoney

  • Compliance Officers and Law Enforcement: Friends or Foes?

    Part Two of a Two-Part Article

    As we saw in Part One, regulators have recently shown a tendency to focus on compliance officers who they deem to have failed to ensure that the compliance and anti-money laundering (AML) programs that they oversee adequately prevented corporate wrongdoing, and there are several indications that regulators will continue to target compliance officers in 2018 in actions focused on Bank Secrecy Act/AML compliance.

    April 01, 2018Jonathan B. New and Patrick T. Campbell

  • Industry Workplace Misconduct Investigations

    The important ongoing industry and national conversation about sexual harassment is serving as a wake-up call to entertainment companies, board members and C-suite executives about the need to be proactive when confronted with allegations of harassment or other workplace misconduct.

    April 01, 2018Carri H. Cohen, Janie F. Schulman and Joshua Hill

  • Supreme Court Ties SEC's Hands in Whistleblower Case

    With its decision in Digital Realty v. Somers, the U.S. Supreme Court dealt a blow to companies interested in learning of their own securities violations before the government gets the heads-up. The case's outcome means whistleblowers who might have reported violations internally will be incentivized to bypass their own companies' compliance mechanisms in favor of immediate reporting to the SEC.

    April 01, 2018Janice G. Inman

  • Hiring Practices and the FCPA

    While laws such as the FCPA do not necessarily prohibit hiring individuals with criminal records or bad credit records or who are former government officials, they do require employers to identify these individuals and assess whether their hire would pose a threat, violate the laws outright or impose an administratively difficult burden due to the need to monitor their activities.

    April 01, 2018Philip M. Berkowitz

  • Sexual Harassment & the Legal Industry

    For members of a conservative industry that — literally — wrote the rulebook on sexual harassment, law firms need to be ready for a day of reckoning that seems inescapable.

    April 01, 2018John Hellerman

  • Hotline

    Arkansas State Senator Pleads Guilty to Fraud and Money Laundering

    April 01, 2018ssalkin