Over the last several months, we have been working behind the scenes to put together a database of final award orders issued by the SEC and CFTC. While the project remains a work-in-progress, it is at the stage where it
Last Friday, the SEC announced that the agency had settled charges against D.E. Shaw & Co. LP, a New-York based investment advisor. Since 2011, and through at least 2019, D.E. Shaw had been in habit of requiring employees to sign
A question that we are occasionally asked concerns attorneys as whistleblowers. It’s a reasonable question—who is better positioned to know whether their employer (for in-house counsel) or client (external counsel) is following the rules? But with knowledge comes duty, and
On May 30, 2023, the Supreme Court declined to review a challenge to an SEC award decision brought by an anonymous attorney who blew the whistle on a foreign bribery scheme. (Case No. 22-963.) The decision comes after the
In response to the Russian invasion of Ukraine, the last two weeks have seen the imposition of several rounds of sanctions against Russian and Belarussian individuals, banks, and other business. How effective these sanctions are will depend entirely on their