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SEC Announces Its 2013 Enforcement Results in the Financial Markets

Here is a link to the Securities & Exchange Commission’s press release reporting its enforcement numbers for fiscal year 2013, which ran from October through September. Over that period last year, the agency filed 686 public lawsuits in the name of our capital markets, and it obtained a record $3.4 billion in monetary sanctions, like disgorgement of profits, including $3 billion from 169 people Read More

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Beware: The Rising Tide of Anti-Bribery Enforcement Does Not Abate

They say that the Foreign Corrupt Practices Act is among the statutes most feared by companies with foreign operations, and to be sure, if you do business overseas or across the border, you’d better contend with it. The FCPA, which was enacted in 1977, is America’s—and perhaps the world’s—foremost anti-bribery law aimed at combating corporate corruption abroad. It Read More

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Don’t Mess With Texas, (Mark) Cubans, or the SEC When It Comes to Insider Trading

As you may have heard, Texan billionaire Mark Cuban was acquitted a couple weeks ago in an insider-trading trial that accused him of selling his stake in a Canadian search-engine company after learning from its CEO that it was planning a stock sale that would dilute his stake. Cuban’s conversation with the CEO took place in 2004, just months after he Read More

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SEC Pays Out Its Largest Whistleblower Award So Far, By Far

Do you remember that Dodd-Frank financial-reform law we passed a couple years ago? Well, among many other things, it authorized the Securities & Exchange Commission to pay out whistleblower awards of 10-30% of the money it recovers in an enforcement action, if the whistleblower supplies high-quality, original information that results in monetary sanctions over $1 million. Read More

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Our Criminal Securities Laws Do No Reach Transactions Outside the United States

What happens outside the USA, stays outside the USA. Sort of. A couple weeks ago, a federal court of appeals ruled that there can be no criminal liability for securities fraud based solely on foreign activity. Makes sense, right? The decision applied and extended the logic of a 2010 case in which the Supreme Court said Read More

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The SEC Talks The Talk Then Walks the Walk of Its New Settlement Policy

In June, the Securities and Exchange Commission said it would no longer follow by rote its longstanding policy of resolving cases without requiring targets to admit liability. Last week, it filed a proposed settlement in which hedge-fund manager Philip Falcone and his firm, Harbinger Capital Partners, agreed to admit wrongdoing as well as disgorge profits, pay civil penalties, and Read More

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