Topic
Enforcement
987 published works
Corporate Defense and Disputes
Study: Does The Existence Of Whistleblowers In Enforcement Actions Mean Greater Penalties?
By Rachel Fischer, Steven J. Pearlman
Guest Post from Proskauer's Whistleblower Defense Blog Written By Steven J. Pearlman and Rachel Fischer on November 5, 2014 According to an academic study published on October 6, 2014 by Andrew…
Corporate Defense and Disputes
Companies and Individuals Alike Should Heed DOJ’s Focus on Individual Liability
By Jessica Fisher, Phillip Caraballo-Garrison, Sigal Mandelker
Attorney General Eric Holder and Principal Deputy Assistant Attorney General for the Criminal Division Marshall Miller have sent the message that the Department of Justice is looking to hold individuals…
CommLaw Monitor
KDW Webinar Release: “Navigating the Potential Hazards of FCC Spectrum Use Enforcement”
The Federal Communications Commission continues to step up its enforcement actions against communications and technology companies with increasing emphasis on spectrum and licensing matters, including operating outside the rules (or…
White Collar Briefly
SEC’s Home “Court” Advantage Being Challenged
By Jose Lopez
The U.S. Securities and Exchange Commission has made clear that it intends on filing more enforcement actions in administrative proceedings, which are heard by its own Administrative Law Judges (ALJs).…
Corporate & Financial Weekly Digest
SEC Announces Record Number of Enforcement Actions in FY 2014
Last week, the Securities and Exchange Commission provided a summary of its enforcement activities for its fiscal year 2014 (ending in September). The SEC announced that it brought a record…
Consumer Finance Monitor
Defendants file appeal in NY regulator’s lawsuit using Dodd-Frank authority
The defendants in the lawsuit brought by Benjamin Lawsky, the Superintendent of the New York Department of Financial Services, using his Dodd-Frank enforcement authority have filed an appeal with the…
Securities Law Prof Blog
SEC’s FY 2014 Enforcement Actions Span Securities Industry and Include First-Ever Cases
Details available here.
Banking, Finance and Securities
CFTC goes after outside attorney for aiding and abetting violations of Dodd-Frank
In the most recent exercise of the Commodity Futures Trading Commission’s expanded enforcement authority under the Dodd-Frank Act, the CFTC filed a Complaint against attorney Jay Bruce Grossman claiming that…
Consumer Finance Monitor
Update on Illinois AG lawsuit using Dodd-Frank authority
As we previously reported, among the lawsuits that have been brought by a state attorney general and a state regulator using their Dodd-Frank enforcement authority is a lawsuit initially filed…
Technology Law Dispatch
Reed Smith attorneys conduct Q&A with State AGs
The office of Connecticut Attorney General (AG) George Jepsen has been at the forefront of state-led privacy enforcement issues for years, and Connecticut is widely considered to be one of…