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Searching Content indexed under Criminal Law by Edward G. Eisert ordered by Published Date Descending.
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United States
11 Mar 2019
2
Treasury Announces Key Regulations And Legislation To Counter Money Laundering And Corruption, Combat Tax Evasion
On May 5, 2016, the U.S. Department of the Treasury announced several actions to strengthen financial transparency.
United States
16 May 2016
3
FinCEN Proposes New Rule Requiring Anti-Money Laundering Programs For Registered Investment Advisers
On August 25, 2015, the Financial Crimes Enforcement Network (FinCEN) issued a Notice of Proposed Rulemaking (NPRM) that would define investment advisers registered...
United States
7 Sep 2015
4
Court Dismisses Suit Alleging Fraud by Merrill Lynch in the Sale of RMBS
On October 8, Justice Charles E. Ramos of the New York Supreme Court for the County of New York, Commercial Division entered an order dismissing an amended complaint brought by Phoenix Light SF Limited, Silver Elms CDO PLC, Silver Elms CDO II Limited, and Kleros Preferred Funding V PLC against Merrill Lynch & Co., Inc.
United States
17 Oct 2014
5
FHFA Wins Summary Judgment That It Did Not Have Actual Knowledge Of RMBS Misrepresentations
On July 30, Judge Denise Cote granted the motion for partial summary judgment brought by FHFA, as conservator for Fannie Mae and Freddie Mac.
United States
7 Aug 2014
6
FCA Fines Besso Limited For Anti-Bribery And Corruption Systems Failings
The FCA has fined Besso Limited £315,000 for a failure to establish and maintain effective controls for countering the risk of bribery and corruption.
European Union
1 Apr 2014
7
FCA Bans Former Derivatives Trader
The FCA published the final notice it issued to David Hobbs, a former derivatives trader, banning him from performing any regulatory function.
United States
13 Mar 2014
8
Financial Industry Week In Review - February 18, 2014
On February 12, the CFTC and the European Commission announced jointly that the two agencies have made significant progress in their collaboration.
United States
3 Mar 2014
9
Federal Jury Holds Radius CEO Liable For MBS Fraud
On February 6, a jury in the United States District Court for the Middle District of Florida found the CEO of the now-defunct Radius Capital Corp., Robert A. DiGiorgio, knowingly or recklessly made false or misleading statements.
United States
1 Mar 2014
10
The European Parliament Votes To Adopt CSMAD
On February 4, the European Parliament revealed it had voted at its plenary session to adopt the proposed directive on criminal sanctions for insider dealing and market manipulation.
European Union
19 Feb 2014
11
Goldman Sachs And Prudential Settle RMBS Action
On January 6, Judge Susan D. Wigenton of the United States District Court for the District of New Jersey "so ordered" the parties’ stipulation of voluntary dismissal with prejudice of Prudential’s claims against Goldman Sachs after the parties reached an undisclosed settlement.
United States
16 Jan 2014
12
Second Circuit Affirms Dismissal Of Untimely CDO Claims Against Merrill Lynch
On November 21, the Court of Appeals for the Second Circuit affirmed the dismissal of a suit brought by South Korea‘s Woori Bank against Merrill Lynch & Co., Inc. and Bank of America Corp. on statute of limitations grounds.
United States
17 Dec 2013
13
Update On SFO's First Bribery Act Case
The UK Serious Fraud Office (SFO) has updated a webpage on its case relating to Sustainable Agroenergy plc and Sustainable Wealth Investments UK Ltd.
United States
28 Nov 2013
14
European Parliament Adopts Committee On Organized Crime, Corruption And Money Laundering Final Report
In a press release dated October 23, the European Parliament announced its adoption of the final report of the special committee.
European Union
6 Nov 2013
15
Morgan Stanley Wins Dismissal Of Dexia’s Fraud Suit Over $626 Million In RMBS
On October 16, Justice Eileen Bransten of the Supreme Court for the State of New York dismissed a suit by FSA Asset Management LLC (FSAM) and Dexia SA/NV (with two related entities, Dexia) alleging fraud by Morgan Stanley in connection with the sale of $626 million in RMBS.
United States
2 Nov 2013
16
Royal Park Sues RBS Over $1.6 Billion In RMBS
On October 11, Royal Park Investments SA/NV sued several Royal Bank of Scotland (RBS) entities in New York state court over its purchase of $1.6 billion worth of residential mortgage-backed securities.
United States
28 Oct 2013
17
Second Circuit Decision On Extraterritoriality
On August 30, the United States Court of Appeals for the Second Circuit handed down its decision in United States v. Vilar, which unequivocally limits the U.S. government’s ability to use Section 10(b) of the Securities Exchange Act of 1934 in criminal prosecutions involving extraterritorial conduct. No. 10-521-CR.
United States
23 Sep 2013
18
SFO Brings First Charges Under The Bribery Act 2010
On August 14, the Serious Fraud Office (SFO) published a press release announcing that it has charged four men with offenses of conspiracy to commit fraud by false representation and conspiracy to furnish false information, contrary to section 1 of the Criminal Law Act 1977, in connection with the investigation by the SFO into the promotion and selling of "bio fuel" investment products to UK investors.
United States
23 Aug 2013
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