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Searching Content indexed under Corporate Crime by Cadwalader, Wickersham & Taft LLP ordered by Published Date Descending.
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1
Former Bank Director Settles CFTC Charges For "Mismarking" Swaps
A former managing director of a bank agreed to pay $350,000 to settle CFTC charges for illegally "mismarking" swap valuations in an effort to hide significant trading losses.
United States
14 Nov 2018
2
NASAA Summarizes Recent Enforcement Trends
The North American Securities Administrators Association ("NASAA") identified recent enforcement trends in an annual summary of enforcement actions.
United States
17 Oct 2018
3
Medical Technologies Company Settles FCPA Charges
A medical technologies firm agreed to pay a $7.8 million penalty to settle SEC charges for violating the books and records and internal accounting controls provisions ...
United States
7 Oct 2018
4
Multinational Corporation Settles FCPA Charges
A Connecticut-based multinational corporation agreed to pay $13.9 million to settle SEC charges for violating the anti-bribery, books and records, and internal controls provisions of the Foreign Corrupt Practices Act.
United States
17 Sep 2018
5
SEC Charges Short Seller With Misleading Investors
The SEC charged a hedge funder adviser, his investment advisory firm and a Delaware-based company in a scheme to manipulate a stock price.
United States
17 Sep 2018
6
SEC Charges Broker For Misusing Access To Customers' Brokerage Accounts
The SEC filed charges against a New Jersey-based broker for allegedly misusing his access to customers' brokerage accounts to enrich himself and two of his family members at the expense of his customers.
United States
17 Sep 2018
7
Investment Management Firm Settles FCPA Charges
U.S.-based investment management firm Legg Mason Inc. ("Legg Mason") agreed to disgorge over $34 million in profits and prejudgment interest to settle SEC charges that it violated the Foreign Corrupt Practices Act ("FCPA").
United States
11 Sep 2018
8
SEC Charges Cannabis Investment Fund And Founder With Securities Fraud
The SEC charged a cannabis investment fund and its founder with securities fraud for allegedly using misleading marketing materials and deceptive sales pitches to lure investors.
United States
10 Sep 2018
9
Global Pharmaceutical Company Settles FCPA Charges
A Paris-based pharmaceutical company ("Sanofi") agreed to pay more than $25 million to settle SEC claims that the company falsely recorded improper payments and lacked sufficient internal accounting controls to detect and prevent violations of the Foreign Corrupt Practices Act ("FCPA").
United States
10 Sep 2018
10
SEC And DOJ Charge NFL Player And Former Investment Banker With Insider Trading
The SEC and the DOJ charged a professional football player and a former analyst at an investment bank with fraud and insider trading.
United States
9 Sep 2018
11
Second Circuit Finds There Are Limits To FCPA Jurisdiction
On August 24, 2018, the U.S. Court of Appeals for the Second Circuit ("Second Circuit"), in U.S. v. Hoskins, affirmed a lower Court's ruling that the Foreign Corrupt Practices Act ("FCPA") does not apply to non-resident foreign nationals unless they were either physically present in the United States or acting as agents of a U.S. entity when they committed their crimes.
United States
2 Sep 2018
12
DOJ Charges Former Transportation Executives With Accounting And Securities Fraud
The DOJ charged two former executives of a publicly traded transportation company with engaging in a multiyear accounting and securities fraud scheme.
United States
22 Jun 2018
13
Bank Settles Investigation Over LIBOR Manipulation
A bank agreed to pay $100 million to settle charges related to U.S. Dollar LIBOR ("USD LIBOR") manipulation. The matter was investigated by a working group ...
United States
22 Jun 2018
14
Outside Counsel May Face Criminal Liability In Complex Business Cases
When a complex transaction directed by a CEO or CFO is later deemed criminal and the executive is charged, what exposure could outside counsel face ...
United States
27 Feb 2018
15
SEC Charges Seven In Insider Trading Scheme
The SEC charged seven individuals with insider trading in a scheme involving "tipping and trading on inside information about dozens of impending corporate mergers and acquisitions, and tender offers."
United States
23 Aug 2017
16
Divided SEC Affirms Dismissal Of Insider Trading Case
A divided SEC affirmed an earlier ruling by an administrative judge that the SEC Division of Enforcement did not demonstrate sufficiently that a former trader had engaged in insider trading.
United States
27 Jul 2017
17
SEC Charges Research Scientist With Insider Trading
The SEC charged a research scientist with insider trading in relation to allegations that he traded on confidential information obtained from his wife.
United States
24 Jul 2017
18
CFTC Proposes Consent Order To Resolve Price Manipulation And Spoofing Case
The CFTC submitted a proposed Consent Order to the U.S. District Court for the Northern District of Illinois that would resolve a civil enforcement action against Navinder Singh Sarao.
United States
16 Nov 2016
19
Manufacturer And Subsidiary To Pay Over $14 Million For FCPA Violations
The SEC settled charges against a medical device manufacturer and its wholly owned Danish subsidiary for engaging in "hundreds of sham transactions with distributors that funneled about $20 million to third parties...
United States
3 Jul 2016
20
SEC Enters Into NPAs In Two FCPA Cases
The SEC entered into non-prosecution agreements ("NPA") with two unrelated companies on the condition they forfeit ill-gotten gains from bribes allegedly paid to Chinese officials by foreign subsidiaries.
United States
20 Jun 2016
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