Amanda J. Goldstein

Amanda represents financial services clients in complex securities matters, focusing on regulatory investigations and enforcement actions, internal investigations, and litigation.

Firm/Organization: McGuireWoods LLP

Blogs: Subject to Inquiry

Latest Articles

Subject to Inquiry

D.C. Circuit Vacates SEC Sanctions, Says Negligent Omissions Are Not ‘Willful’ Under Advisers Act

By Anitra T. Cassas, Emily P. Gordy, Cheryl Haas & Amanda J. Goldstein

May 14, 2019

On April 30, the U.S. Circuit Court of Appeals for the District of Columbia Circuit vacated a Securities and Exchange Commission order imposing sanctions. The court held that an investment advisory firm and its owners did not violate Section 207 of the Investment Advisers Act of 1930, 15 U.S.C. § 80b-7, by negligently omitting material facts from the firm’s Form ADV. (See Robare Group, Ltd., et al. v. SEC, No. 16-1453.) In September 2014, SEC Enforcement charged…

Subject to Inquiry

Recent New Jersey Rule Proposal Progresses State Efforts to Impose Fiduciary Duties on Brokers

By Alexander Madrid & Amanda J. Goldstein

April 22, 2019

On April 15, the New Jersey Bureau of Securities (the “Bureau”) issued a rule proposal to establish a uniform fiduciary duty standard applicable to investment advisers, brokers-dealers and their registered representatives and agents. Specifically, the proposed rule (N.J.A.C. 13:47A-6.4), which could take effect as early as the end of the year, will require all investment professionals registered with the Bureau to provide investment advice, recommend investment strategies, open or transfer assets to any type of…

Subject to Inquiry

SEC Expected to Expedite FCPA Investigations in Light of Kokesh

By Amanda J. Goldstein & William E. Goydan

November 17, 2017

On November 9, 2017, Steven R. Peikin, Co-Director of the SEC’s Division of Enforcement, delivered a keynote speech at a conference commemorating the 40th anniversary of the enactment of the Foreign Corrupt Practices Act (“FCPA”) in which he reflected on “the past, present, and future” of the SEC’s enforcement of the FCPA. After confirming the SEC’s commitment to robust FCPA enforcement, Peikin noted that a “principal challenge” the SEC is now facing is “the interplay…

Incubate Illinois

Collecting Fingerprints or Other Biometric Information without Consent Could Be Costly

By Amanda J. Goldstein

October 13, 2017

If you are an employer or other entity that is using the biometric information of your employees, customers or others, such as fingerprint or retina scans, for purposes such as timekeeping, computer login, or customer identification, you could be the target of a class action lawsuit based on Illinois’ Biometric Identification Privacy Act (“BIPA”) unless you have appropriate signed releases and a policy in place governing the storage, retention, and destruction of the biometric information.…

Real Estate & Construction Law

The Green Corner: Changes to the LEED System

By Amanda J. Goldstein

July 21, 2009

The U.S. Green Building Council, on April 27, 2009, implemented changes to Leadership in Energy and Environmental Design or LEED, the country’s most popular and recognizable green building rating system. The revised rating system, known as LEED 2009, contains several significant changes affecting developers who previously operated under the old system. LEED 2009 also features many positive improvements to the LEED rating system. One of the most significant changes in attaining LEED certification now requires…

Amanda J. Goldstein

D.C. Circuit Vacates SEC Sanctions, Says Negligent Omissions Are Not ‘Willful’ Under Advisers Act

Recent New Jersey Rule Proposal Progresses State Efforts to Impose Fiduciary Duties on Brokers

SEC Expected to Expedite FCPA Investigations in Light of Kokesh

Collecting Fingerprints or Other Biometric Information without Consent Could Be Costly

The Green Corner: Changes to the LEED System

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