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Miller et al – Complaint 15853 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/15854/In the Matter of Ixia and Victor Alston - Order.pdf 2017-02-13 0.5 0 File In the Matter of Ixia and Victor Alston - Order 15854 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/15937/In re CVR Energy Inc. - Order.pdf 2017-02-20 0.5 0 File In re CVR Energy Inc. – Order 15937 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/15938/In re Eberwein et al - Order.pdf 2017-02-20 0.5 0 File In re Eberwein et al – Order 15938 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/16026/DOJ Fraud Section, Evaluation of Corporate Compliance Programs (2017).pdf 2017-02-27 0.5 0 File DOJ Fraud Section, Evaluation of Corporate Compliance Programs (2017) 16026 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/16027/SEC and DOJ Officials Comment on Expectations of Compliance Professionals (May 31, 2016).pdf 2017-02-27 0.5 0 File SEC and DOJ Officials Comment on Expectations of Compliance Professionals 16027 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/16031/UNITED STATES ATTORNEYS OFFICE UNITED STATES ATTORNEYS MANUAL 9 28300 1997.pdf 2017-02-27 0.5 0 File UNITED STATES ATTORNEY’S OFFICE, UNITED STATES ATTORNEYS’ MANUAL § 9-28.300 (1997) 16031 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/16071/United States v. 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William E. Mapp, III, et al. (ECF No. 96) 16228 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/16229/SEC v. William E. Mapp, III, et al., No. 416-cv-00246 (E.D. Tex. Oct. 21, 2016), ECF No. 40.pdf 2017-03-13 0.5 0 File SEC v. William E. Mapp, III, et al. (ECF No. 40) 16229 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/16314/Dept of Mkt. Regulatory v. Sheerin, Compl. No. 2011027926301 (Aug. 1, 2013).pdf 2017-03-20 0.5 0 File  Dept of Mkt. Regulatory v. Sheerin, Compl. No. 2011027926301 (Aug. 1, 2013) 16314 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/16315/National Adjudicatory Council Sheerin Decision (Mar. 13, 2017).pdf 2017-03-20 0.5 0 File  National Adjudicatory Council Sheerin Decision (Mar. 13, 2017) 16315 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/16316/Office of Hearing Officers Sheerin Decision (May 18, 2015).pdf 2017-03-20 0.5 0 File  Office of Hearing Officers Sheerin Decision (May 18, 2015) 16316 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/16434/SEC v. Cooperman, No. 16-cv-05043 (E.D. Pa. Mar. 20, 2017).pdf 2017-03-27 0.5 0 File SEC v. Cooperman 16434 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/16745/Morrison v. National Australia Bank 561 US 247 (2010).pdf 2017-04-10 0.5 0 File Morrison v. National Australia Bank 16745 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/16746/SEC v. Traffic Monsoon No. 16-cv-00832-JNP (July 26, 2016) (Complaint).pdf 2017-04-10 0.5 0 File SEC v. Traffic Monsoon (Complaint) 16746 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/16747/SEC v. Traffic Monsoon No. 16-cv-00832-JNP (Mar. 28, 2017) (Order Granting Preliminary Injunction).pdf 2017-04-10 0.5 0 File SEC v. Traffic Monsoon (Order Granting Preliminary Injunction) 16747 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/16839/Press Release, SEC Payments for Bullish Articles on Stocks Must Be Disclosed to Investors, Rel. No. 2017-79 (Apr. 10, 2017).pdf 2017-04-17 0.5 0 File Press Release, SEC: Payments for Bullish Articles on Stocks Must Be Disclosed to Investors 16839 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/16994/In the Matter of Charles L. Hill, Jr., Admin. Proc. No. 3-16383 (Apr. 18, 2017).pdf 2017-04-25 0.5 0 File In the Matter of Charles L. Hill, Jr. 16994 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/16995/Hill v. SEC, 114 F. Supp. 3d 1297 (N.D. Ga. 2015).pdf 2017-04-25 0.5 0 File Hill v. SEC, 114 F. Supp. 3d 1297 16995 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/16996/Hill v. SEC, 825 F.3d 1236 (N.D. Ga. 2016).pdf 2017-04-25 0.5 0 File Hill v. SEC, 825 F.3d 1236 16996 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/17089/United States v. Litvak, 14-2902 (2d Cir. Dec. 8, 2015).pdf 2017-05-01 0.5 0 File United States v. Litvak 17089 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/17090/Litvak Sentencing Minutes, 13-cr-00019 (Jul. 23, 2014).pdf 2017-05-01 0.5 0 File Litvak Sentencing Minutes 17090 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/17296/Department Charging and Sentencing Policy (May 10, 2017).pdf 2017-05-15 0.5 0 File Department Charging and Sentencing Policy (May 10, 2017) 17296 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/17297/Department Policy on Charging and Sentencing (May 19, 2010).pdf 2017-05-15 0.5 0 File Department Policy on Charging and Sentencing (May 19, 2010) 17297 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/17319/SEC v. Chan, S.D.N.Y, 117-cv-3605.pdf 2017-05-22 0.5 0 File SEC v. Chan 17319 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/17320/SEC v. Chan, S.D.N.Y, 117-cv-3605, Consent Judgment [ECF No. 7] (May 16, 2017).pdf 2017-05-22 0.5 0 File SEC v. Chan, Consent Judgment 17320 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/17321/SEC v Im, S.D.N.Y, 117-cv-3613.pdf 2017-05-22 0.5 0 File SEC v. Im 17321 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/17322/Indictment Charges 3 Former Nomura RMBS Traders with Multiple Fraud and Conspiracy Offenses (Sept. 8, 2015).pdf 2017-05-22 0.5 0 File Indictment Charges 3 Former Nomura RMBS Traders with Multiple Fraud and Conspiracy Offenses (Sept. 8, 2015) 17322 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/17503/Kokesh v. SEC No. 16-529.pdf 2017-06-08 0.5 0 File Kokesh v. SEC, No. 16-529 17503 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/17617/Honeycutt v. United States, No. 16-142 (June 5, 2017).pdf 2017-06-16 0.5 0 File Honeycutt v. United States 17617 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/17669/United States v. Shapiro, 3.15-cr-155, Indictment (Sept 3, 2015).pdf 2017-06-26 0.5 0 File United States v. Shapiro, Indictment 17669 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/17670/United States v. Shapiro, 3.15-cr-155, Verdict Form (June 15, 2017).pdf 2017-06-26 0.5 0 File United States v. Shapiro, Verdict Form 17670 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/17855/Kokesh v. SEC, No. 16-529 (June 5, 2017).pdf 2017-07-10 0.5 0 File Kokesh v. SEC 17855 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/17856/United States Sec. & Exch. Comm'n v. Collyard, No. 16-1405 (8th Cir. June 29, 2017).pdf 2017-07-10 0.5 0 File United States Sec. & Exch. Comm'n v. Collyard 17856 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/17857/Letter from Laura Perkins & Nicholas Acker to Lucinda Low (June 16, 2017).pdf 2017-07-10 0.5 0 File Letter from Laura Perkins & Nicholas Acker to Lucinda Low (June 16, 2017) 17857 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/17858/Letter from Nicola J. Mrazek to Nathaniel B. Edmonds (June 21, 2017).pdf 2017-07-10 0.5 0 File Letter from Nicola J. Mrazek to Nathaniel B. Edmonds (June 21, 2017) 17858 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/17859/Shearman & Sterling LLP, Recent Trends & Patterns in the Enforcement of the Foreign Corrupt Practices Act (July 5, 2017).pdf 2017-07-10 0.5 0 File Shearman & Sterling LLP, Recent Trends & Patterns in the Enforcement of the Foreign Corrupt Practices Act (July 5, 2017) 17859 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/18050/United States v. HSBC Bank USA, N.A., No. 16-308 at 25 (2d Cir. July 12, 2017).pdf 2017-07-17 0.5 0 File United States v. HSBC Bank USA, N.A. 18050 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/18051/United States v. Silver (2d Cir. July 13, 2017).pdf 2017-07-17 0.5 0 File United States v. Silver 18051 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/18052/McDonnell v. United States, 136 S. Ct. 2355 (2016).pdf 2017-07-17 0.5 0 File McDonnell v. United States 18052 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/18252/U.S. v. Allen and Conti, 16-898-cr (2d Cir. July 19, 2017).pdf 2017-07-24 0.5 0 File United States v. Allen and Conti 18252 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/18309/In the Matter of Halliburton Company and Jeannot Lorenz, Admin. Proc. No. 3-18080 (July 27, 2017).pdf 2017-07-31 0.5 0 File In the Matter of Halliburton Company and Jeannot Lorenz, Admin. Proc. No. 3-18080 (July 27, 2017) 18309 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/18310/United States v. Yan, 17-mag-5156 (July 12, 2017).pdf 2017-07-31 0.5 0 File United States v. Yan 18310 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/18311/SEC v. Yan et al., 17-cv-05257 (S.D.N.Y. July 12, 2017).pdf 2017-07-31 0.5 0 File SEC v. Yan et al. 18311 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/18385/In the Matter of Cadaret, Grant & Co., Inc., Admin. Proc. File No. 3-18087 (Aug. 1, 2017).pdf 2017-08-07 0.5 0 File In the Matter of Cadaret, Grant & Co., Inc. 18385 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/18498/U.S. v. Coscia, No. 16-3017 (7th Cir Aug. 7 2017).pdf 2017-08-14 0.5 0 File United States v. Coscia 18498 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/18499/U.S. v. Wey, 15-cr-611 (S.D.N.Y. Aug. 8 2017).pdf 2017-08-14 0.5 0 File U.S. v. Wey 18499 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/18500/U.S. v. Wey, 15-cr-611 (S.D.N.Y. June 13 2017) (Suppression Opinion).pdf 2017-08-14 0.5 0 File U.S. v. Wey (Suppression Opinion) 18500 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/18570/In the Matter of KPMG LLP and John Riordan, CPA, Admin. Proc. File No. 3-18110 (Aug. 15, 2017).pdf 2017-08-21 0.5 0 File In the Matter of KPMG LLP and John Riordan, CPA 18570 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/18634/In the Matter of Banca IMI Securities Corp., Admin. Proc. File No. 3-18118 (Aug. 18, 2017).pdf 2017-08-28 0.5 0 File In the Matter of Banca IMI Securities Corp. 18634 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/18635/In the Matter of ITG Inc., Admin Proc. File No. 3-17770 (Jan. 12, 2017).pdf 2017-08-28 0.5 0 File In the Matter of ITG Inc. 18635 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/18636/United States v. Martoma, No. 14-3599 (2d Cir. Aug. 23, 2017).pdf 2017-08-28 0.5 0 File United States v. Martoma 18636 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/18982/In re Suntrust Investment Services, Inc..pdf 2017-09-18 0.5 0 File In re Suntrust Investment Services, Inc. 18982 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/19000/Telia Criminal Information.pdf 2017-09-25 0.5 0 File Telia Criminal Information 19000 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/19001/Telia DPA.pdf 2017-09-25 0.5 0 File Telia DPA 19001 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/19002/Telia SEC Order.pdf 2017-09-25 0.5 0 File Telia SEC Order 19002 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/19130/United States v. Skelos, et al., No. 16-1618 (2d Cir. 2017).pdf 2017-10-02 0.5 0 File United States v. Skelos, et al. 19130 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/19131/United States v. Silver (2d Cir. 2017).pdf 2017-10-02 0.5 0 File United States v. Silver 19131 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/19132/McDonnell v. United States, 136 S. Ct. 2355 (2016)1.pdf 2017-10-02 0.5 0 File McDonnell v. United States 19132 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/19135/Press Release, Statement of Acting US Attorney Joon H. Kim (Sept 26, 2017)2.pdf 2017-10-02 0.5 0 File Press Release, Statement of Acting US Attorney Joon H. Kim (Sept 26, 2017) 19135 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/19136/In the Matter of Tilton et al., Admin. Proc. File No. 3-16462 (Sept. 27, 2017).pdf 2017-10-02 0.5 0 File In the Matter of Lynn Tilton, et al. 19136 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/19137/Rolf v. Blyth, Eastman Dillon & Co., 570 F.2d 38, 47 (2d. Cir. 1978).pdf 2017-10-02 0.5 0 File Rolf v. Blyth, Eastman Dillon & Co. 19137 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/19174/Lorenzo v. SEC.pdf 2017-10-09 0.5 0 File Lorenzo v. SEC 19174 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/19377/CFTC Press Release (October 10, 2017).pdf 2017-10-23 0.5 0 File CFTC Press Release (October 10, 2017) 19377 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/19378/In the Matter of Arab Global Commodities DMCC, CFTC No. 18-01 (Oct., 10, 2017).pdf 2017-10-23 0.5 0 File In the Matter of Arab Global Commodities DMCC 19378 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/19424/U.S. v. Johnson, No. 116-cr-00457 (E.D.N.Y. filed July 19, 2016).pdf 2017-10-30 0.5 0 File U.S. v. Johnson 19424 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/19502/In re Grand Jury Investigation, 17-ms-2336 (Oct. 2, 2017).pdf 2017-11-06 0.5 0 File In re Grand Jury Investigation, No. 17-ms-2336 (D.D.C. 2017) 19502 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/19503/In re Grand Jury 475 F.3d 1299 (D.C. Cir. 2007).pdf 2017-11-06 0.5 0 File In re Grand Jury, 475 F.3d 1299 (D.C. Cir. 2007) 19503 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/19587/In the Matter of Cargill, Inc. CFTC No. 18-03 (Nov. 6, 2017).pdf 2017-11-13 0.5 0 File In the Matter of Cargill, Inc. 19587 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/19588/U.S. v. Finley (July 21, 2017).pdf 2017-11-13 0.5 0 File U.S. v. Finley 19588 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/19589/U.S. v. 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US – Reply Brief 20671 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/20779/A New Model for SEC Enforcement - SEC Chair Mary Jo White.pdf 2018-01-25 0.5 0 File SEC Chair Mary Jo White 20779 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/20804/United States v. HSBC Holdings Plc, No. 118-cr-00030 (E.D.N.Y. 2018).pdf 2018-01-29 0.5 0 File United States v. HSBC Holdings Plc. 20804 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/20805/DOJ, Press Release, HSBC Holdings Plc Agrees to Pay More Than $100 Million to Resolve Fraud Charges.pdf 2018-01-29 0.5 0 File DOJ Press Release – HSBC Holdings Plc Agrees To Pay More Than $100 Million To Resolve Fraud Charges 20805 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/20806/DOJ, Press Release, 5 Former KPMG Executives and PCAOB Employees Charged.pdf 2018-01-29 0.5 0 File DOJ Press Release – 5 Former KPMG Executives And PCAOB Employees Charged 20806 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/20807/SEC, Press Release, Six Accountants Charged with Using Leaked Confidential PCAOB Data.pdf 2018-01-29 0.5 0 File SEC Press Release – Six Accountants Charges With Using Leaked Confidential PCAOB Data 20807 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/20808/SEC, In the Matter of Holder et al. 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Sweet (Information) 20811 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/20879/DOJ Press Release on Spoofing Action (Jan 29, 2018).pdf 2018-02-05 0.5 0 File DOJ Press Release on Spoofing Action 20879 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/20880/Statement of CFTC Enforcement Director James McDonald (Jan 28, 2018).pdf 2018-02-05 0.5 0 File Statement of CFTC Enforcement Director James McDonald 20880 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/20926/United States v. Rabobank, National Association, 18-cr-0614, Information (Feb. 7, 2018).pdf 2018-02-12 0.5 0 File United States v. Rabobank, National Association, Information 20926 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/20927/United States v. Rabobank, National Association, 18-cr-0614, Plea Agreement (Feb. 7, 2018).pdf 2018-02-12 0.5 0 File United States v. 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Microsoft 21101 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/21102/Brief for Respondent, United States v. Microsoft.pdf 2018-03-05 0.5 0 File Brief for Respondent, United States v. Microsoft 21102 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/21103/Brief of Petitioner, United States v. Microsoft.pdf 2018-03-05 0.5 0 File Brief of Petitioner, United States v. Microsoft 21103 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/21104/Petitioner's Reply Brief, United States v. Microsoft.pdf 2018-03-05 0.5 0 File Petitioner’s Reply Brief, United States v. Microsoft 21104 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/21169/CFTC v. McDonnell, et al., No. 118-cv-00361 (E.D.N.Y. Mar. 6, 2018).pdf 2018-03-12 0.5 0 File CFTC v. McDonnell, et al. 21169 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/21170/Deputy Attorney Gen. Rosenstein Delivers Remarks (Nov. 29, 2017).pdf 2018-03-12 0.5 0 File Deputy Attorney Gen. Rosenstein Delivers Remarks (Nov. 29, 2017) 21170 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/21171/In the Matter of New York Stock Exchange LLC, et al., Admin. Proc. No. 3-18388 (Mar. 6, 2018).pdf 2018-03-12 0.5 0 File In the Matter of New York Stock Exchange LLC, et al., Admin. Proc. No. 3-18388 (Mar. 6, 2018) 21171 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/21172/In the Matter of New York Stock Exchange, et al., Admin. Proc. No. 3-15860 (May 1, 2014).pdf 2018-03-13 0.5 0 File In the Matter of New York Stock Exchange, et al., Admin. Proc. 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Gentile (Enforcement).pdf 2018-07-16 0.5 0 File SEC v Gentile 22834 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/22835/United States Supreme Court Holds SEC Disgorgement Orders Subject to Five-Year Statute of Limitations (Enforcement).pdf 2018-07-16 0.5 0 File United States Supreme Court Holds SEC Disgorgement Orders Subject to Five-Year Statute of Limitations 22835 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/23043/In the Matter of BGC Financial, L.P. (Enforcement).pdf 2018-07-23 0.5 0 File In the Matter of BGC Financial LP 23043 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/23114/In re Twitter Inc. Securities Litigation Securities.pdf 2018-07-30 0.5 0 File In re Twitter Inc. 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Financial Industry Regulatory Authority 47870 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/47872/E2 - CFTC order re TOTSA TotalEnergies.pdf 2024-09-17 0.5 0 File In the Matter of TOTSA TotalEnergies Trading SA 47872 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/47997/[Enforcement 1] SEC - In the Matter of a.k.a Brands Holding Corp.pdf 2024-09-30 0.5 0 File In the Matter of a.k.a. Brands Holding Corp. 47997 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/47998/[Enforcement 1] SEC - In the Matter of Acadia Healthcare Company Inc.pdf 2024-09-30 0.5 0 File In the Matter of Acadia Healthcare Company, Inc. 47998 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/47999/[Enforcement 1] SEC - In the Matter of AppFolio, Inc.pdf 2024-09-30 0.5 0 File In the Matter of AppFolio, Inc. 47999 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/48000/[Enforcement 1] SEC - In the Matter of GQG Partners LLC.pdf 2024-09-30 0.5 0 File In the Matter of GQG Partners LLC 48000 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/48001/[Enforcement 1] SEC - In the Matter of IDEX Corporation.pdf 2024-09-30 0.5 0 File In the Matter of IDEX Corporation 48001 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/48002/[Enforcement 1] SEC - In the Matter of LSB Industries.pdf 2024-09-30 0.5 0 File In the Matter of LSB Industries, Inc. 48002 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/48003/[Enforcement 1] SEC - In the Matter of Nationwide Planning Associates, Inc. et al.pdf 2024-09-30 0.5 0 File In the Matter of Nationwide Planning Associates, Inc. 48003 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/48004/[Enforcement 1] SEC - In the Matter of Smart for Life, Inc.pdf 2024-09-30 0.5 0 File In the Matter of Smart for Life, Inc. 48004 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/48005/[Enforcement 1] SEC - In the Matter of TransUnion.pdf 2024-09-30 0.5 0 File In the Matter of TransUnion 48005 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/48006/[Enforcement 2] 34-101198.pdf 2024-09-30 0.5 0 File In the Matter of DraftKings Inc. 48006 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/48056/Complaint_Securities and Exchange Commission v. Craigie, Docket No. 1_24-cv-07382 (S.D.N.Y. Sep 30, 2024), Court Docket (1).pdf 2024-10-07 0.5 0 File Securities and Exchange Commission v. Craigie 48056 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/48070/[Enforcement 1] Crypto.com Complaint.pdf 2024-10-15 0.5 0 File Foris DAX Inc. v. U.S. Securities and Exchange Commission 48070 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/48071/[Enforcement 2] United States ex rel. Zafirov .pdf 2024-10-15 0.5 0 File U.S. ex rel. Zafirov v. Florida Medical Associates, LLC 48071 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/48073/[Enforcement 2] fy2023_stats_final.pdf 2024-10-15 0.5 0 File Stats - U.S. ex rel. Zafirov v. Florida Medical Associates, LLC 48073 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/48098/[Enforcement 1] SEC v. DRW Complaint.pdf 2024-10-21 0.5 0 File SEC v. Cumberland DRW LLC 48098 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/48099/[Enforcement 2] CFTC Charges Former CEO of Carbon Credit Project Developer with Fraud Involving Voluntary Carbon Credits _ CFTC.pdf 2024-10-21 0.5 0 File CFTC Press Release 48099 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/48118/[Enforcement] Order - Unisys Corporation (33-11323).pdf 2024-10-28 0.5 0 File In re Unisys 48118 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/48119/[Enforcement] Order - Mimecast (33-11322).pdf 2024-10-28 0.5 0 File In re Mimecast 48119 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/48120/[Enforcement] Order - Check Point (33-11321).pdf 2024-10-28 0.5 0 File In re Check Point 48120 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/48121/[Enforcement] Order - Avaya (33-11320).pdf 2024-10-28 0.5 0 File In re Avaya 48121 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/48122/[Enforcement] SEC - Statement Regarding Administrative Proceedings Against SolarWind Customers (Dissent).pdf 2024-10-28 0.5 0 File SEC - Statement Regarding Administrative Proceedings Against SolarWind Customers 48122 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/48180/CFTC Awards $4M to Two Whistleblowers _ CFTC.pdf 2024-11-18 0.5 0 File Press Release 48180 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/48181/Whistleblower.pdf 2024-11-18 0.5 0 File In re of Claims for Award by [Redacted] 48181 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/48232/[Enforcement 1] Alpine Securities v. FINRA.pdf 2024-12-10 0.5 0 File Alpine Securities v. FINRA 48232 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/48233/[Enforcement 2] Van Loon v. Dep't of Treasury.pdf 2024-12-10 0.5 0 File Van Loon, et al. v. Dep’t of Treasury 48233 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/48248/CFTC-AI-Advisory.pdf 2024-12-16 0.5 0 File CFTC AI Advisory 48248 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/48250/McKinsey-DPA-Part-1.pdf 2024-12-16 0.5 0 File United States v. McKinsey & Co Part 1 48250 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/48251/McKinsey-DPA-Part-2.pdf 2024-12-16 0.5 0 File United States v. McKinsey & Co Part 2 48251 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/48252/McKinsey-DPA-Part-3.pdf 2024-12-16 0.5 0 File United States v. McKinsey & Co Part 3 48252 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/48265/Alliance for Fair Board Recruitment v. SEC.pdf 2024-12-23 0.5 0 File Alliance for Fair Board Recruitment v. SEC 48265 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/48266/SEC v. SilverPoint.pdf 2024-12-23 0.5 0 File SEC v. Silverpoint Capital L.P. 48266 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/48304/[Enforcement] Total Gas Settlement 1.pdf 2025-01-13 0.5 0 File TOTAL Gas Settlement 1 48304 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/48305/[Enforcement] Total Gas Settlement 2.pdf 2025-01-13 0.5 0 File TOTAL Gas Settlement 2 48305 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/50318/Apollo Capital Management.pdf 2025-01-21 0.5 0 File Apollo 50318 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/50319/Blackstone.pdf 2025-01-21 0.5 0 File Blackstone 50319 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/50320/Carlyle.pdf 2025-01-21 0.5 0 File Carlyle 50320 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/50321/Charles Schwaab.pdf 2025-01-21 0.5 0 File Charles Schwab 50321 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/50322/Kohlberg Kravis Roberts.pdf 2025-01-21 0.5 0 File Kohlberg Kravis Roberts 50322 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/50323/PJT Partners.pdf 2025-01-21 0.5 0 File PJT Partners 50323 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/50324/Santander.pdf 2025-01-21 0.5 0 File Santander 50324 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/50325/TPG Capital Advisors.pdf 2025-01-21 0.5 0 File TPG Capital Advisors 50325 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/50326/In re Two Sigma Investments, LP.pdf 2025-01-21 0.5 0 File In re Two Sigma Investments, LP 50326 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/50327/SEC Press Release1.pdf 2025-01-21 0.5 0 File SEC Press Release 50327 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/50423/[Enforcement] Executive Order 14157.pdf 2025-02-10 0.5 0 File Executive Order 14157 50423 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/50424/[Enforcement] DOJ - Cartel & TCO Memo.pdf 2025-02-10 0.5 0 File DOJ – Cartel & TCO Memo 50424 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/50505/[Enforcement 1] Letter from Acting US Attys Khanna and Navarro.pdf 2025-03-10 0.5 0 File Letter from Acting US Attys Khanna and Navarro 50505 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/50506/[Enforcement 1] Letter from US Attorney Giordano.pdf 2025-03-10 0.5 0 File Letter from US Attorney Giordano 50506 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/50507/[Enforcement 1] Executive Order Pausing FCPA Enforcement.pdf 2025-03-10 0.5 0 File Executive Order Pausing FCPA Enforcement 50507 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/50508/[Enforcement 2] U.S. v. OKX Plea Agreement.pdf 2025-03-10 0.5 0 File U.S. v. OKX Plea Agreement 50508 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/50509/[Enforcement 2] DOJ Press Release - OKX.pdf 2025-03-10 0.5 0 File DOJ Press Release 50509 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/50510/[Enforcement 3] SEC Meme Coin Statement.pdf 2025-03-10 0.5 0 File SEC Meme Coin Statement 50510 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/50511/[Enforcement 4] U.S. v. Regeneron Pharms, Inc.pdf 2025-03-10 0.5 0 File United States v. Regeneron Pharms., Inc. 50511 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/50597/[Enforcement] US v. Seoul Medical Grp.pdf 2025-03-31 0.5 0 File US v. Seoul Medical Grp., Inc. 50597 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/50625/[Enforcement 1] SEC v. Miller.pdf 2025-04-07 0.5 0 File SEC v. Miller 50625 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/50626/[Enforcement 1] SEC Press Release.pdf 2025-04-07 0.5 0 File SEC Press Release 50626 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/50627/[Enforcement 2] US v. Coburn.pdf 2025-04-07 0.5 0 File US v. Coburn 50627 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/50629/[Enforcement 3] CFTC Press Release.pdf 2025-04-07 0.5 0 File CFTC Press Release 50629 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/50630/[Enforcement 3] CFTC Staff Advisory.pdf 2025-04-07 0.5 0 File CFTC Staff Advisory 50630 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/50742/[Enforcement] SEC v. Palafox.pdf 2025-04-28 0.5 0 File SEC v. Palafox 50742 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/50788/[Enforcement] Settlement Agreement.pdf 2025-05-12 0.5 0 File Settlement Agreement 50788 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/50815/[Enforcement] DOJ White Collar Enforcement Memo.pdf 2025-05-19 0.5 0 File DOJ White Collar Enforcement Memo 50815 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/51192/[Enforcement 2] Kousisis vs. United States.pdf 2025-06-16 0.5 0 File Kousisis v. United States 51192 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/51223/[Enforcement 1] Declination letter.pdf 2025-07-01 0.5 0 File Declination Letter 51223 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/51224/[Enforcement 1] Plea agreement.pdf 2025-07-01 0.5 0 File Plea Agreement 51224 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/51225/[Enforcement 1] Non-prosecution agreement.pdf 2025-07-01 0.5 0 File Non-Prosecution Agreement 51225 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/51257/[Enforcement] Whistleblower Rewards Program Press Release.pdf 2025-07-14 0.5 0 File Antitrust Rewards Program Press Release 51257 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/51258/[Enforcement] Whistleblower Enforcement Program MOU.pdf 2025-07-14 0.5 0 File Antitrust Rewards Program MOU 51258 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/51297/[Enforcement] DOJ FCA Memo.pdf 2025-07-28 0.5 0 File DOJ FCA Memo 51297 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/51300/[Enforcement] HHS Press Release.pdf 2025-07-28 0.5 0 File HHS Press Release 51300 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/51358/[Enforcement] U.S. v. Chastain.pdf 2025-08-04 0.5 0 File United States v. Chastain 51358 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/51404/[Enforcement 2] Declination Letter.pdf 2025-08-25 0.5 0 File Declination Letter 51404 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/51405/[Enforcement 2] FCPA Executive Order.pdf 2025-08-25 0.5 0 File FCPA Executive Order 51405 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/51467/[Enforcement 2] CFTC Press Release.pdf 2025-09-15 0.5 0 File CFTC Press Release 51467 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/51644/[Enforcement] In re FirstEnergy Corp.pdf 2025-10-14 0.5 0 File In re FirstEnergy Corp. 51644 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/51645/[Enforcement] District Court Order.pdf 2025-10-14 0.5 0 File District Court Order 51645 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/51646/[Enforcement] Special Master Order.pdf 2025-10-14 0.5 0 File Special Master Order 51646 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/51842/[Enforcement 1] United States v. Encompass Health Rehab. Hosp. of Pearland, L.L.C..pdf 2025-11-10 0.5 0 File United States v. Encompass Health Rehab. Hosp. of Pearland, L.L.C. 51842 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/52009/Enforcement - IPI Partners Settlement.pdf 2025-12-16 0.5 0 File IPI Partners Settlement 52009 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/52010/Enforcement - Amendments to CFTC rules of practice and rules relating to investigations.pdf 2025-12-16 0.5 0 File AMENDMENTS TO CFTC RULES OF PRACTICE AND RULES RELATING TO INVESTIGATIONS 52010 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/52030/Enforcement - Commodity Futures Trading Commission v. Logista Advisors LLC et al Joint Stipulation.pdf 2025-12-22 0.5 0 File Commodity Futures Trading Commission v. Logista Advisors LLC et al Joint Stipulation 52030 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/52031/Enforcement - Commodity Futures Trading Commission v. Logista Advisors LLC et al.pdf 2025-12-22 0.5 0 File Commodity Futures Trading Commission v. Logista Advisors LLC et al 52031 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/52043/Enforcement - Factsheet – New Department of Justice Division for National Fraud Enforcement – The White House.pdf 2026-01-12 0.5 0 File Factsheet – New Department of Justice Division for National Fraud Enforcement – The White House 52043 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/52074/Enforcement - Emergent Biosolutions Settlement.pdf 2026-01-26 0.5 0 File EMERGENT BIOSOLUTIONS SETTLEMENT 52074 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/52075/Enforcement - NYAG Announcement - Attorney General James Sues Former CEO ...pdf 2026-01-26 0.5 0 File NYAG ANNOUNCEMENT - ATTORNEY GENERAL JAMES SUES FORMER CEO ... 52075 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/52076/PEOPLE OF THE STATE OF NEW YORK v. KRAMER.pdf 2026-01-26 0.5 0 File PEOPLE OF THE STATE OF NEW YORK v. KRAMER 52076 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/52077/Enforcement - DOJ Fraud Statistics.pdf 2026-01-26 0.5 0 File DOJ FRAUD STATISTICS 52077 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/52078/Enforcement - DOJ's Announcement - False Claims Act Settlements.pdf 2026-01-26 0.5 0 File DOJ'S ANNOUNCEMENT - FALSE CLAIMS ACT SETTLEMENTS 52078 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/52079/Enforcement - Fact Sheet - False Claims Act Settlements and Judgments FY2025.pdf 2026-01-26 0.5 0 File FALSE CLAIMS ACT SETTLEMENTS AND JUDGMENTS FY2025 52079 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/53132/UNITED STATES v. HEPPNER.pdf 2026-02-16 0.5 0 File UNITED STATES v. HEPPNER 53132 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/54151/States Encroach on Prediction Markets - WSJ.pdf 2026-03-02 0.5 0 File States Encroach on Prediction Markets - WSJ 54151 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/54152/NORTH AMERICAN DERIVATIVES EXCHANGE, INC. v. NEVADA.pdf 2026-03-02 0.5 0 File NORTH AMERICAN DERIVATIVES EXCHANGE, INC. v. NEVADA 54152 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/54153/CFTC Enforcement Division Issues Prediction Markets Advisory _ CFTC.pdf 2026-03-02 0.5 0 File CFTC Enforcement Division Issues Prediction Markets Advisory _ CFTC 54153 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/54154/Two Insider Cases We’ve Recently Closed - Kalshi Article (Feb. 25 2026).pdf 2026-03-02 0.5 0 File Two Insider Cases We’ve Recently Closed - Kalshi Article (Feb. 25 2026) 54154 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/54155/SEC Enforcement Manual, Feb 2026.pdf 2026-03-02 0.5 0 File SEC Enforcement Manual, Feb 2026 54155 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/54156/SDNY Press Release.pdf 2026-03-02 0.5 0 File SDNY Press Release 54156 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/54157/SDNY Corporate Enforcement and Voluntary Self-Disclosure Program for Financial Crimes.pdf 2026-03-02 0.5 0 File SDNY Corporate Enforcement and Voluntary Self-Disclosure Program for Financial Crimes 54157 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/54158/Focus Fairness and Efficiency, DOJ Criminal Div..pdf 2026-03-02 0.5 0 File Focus Fairness and Efficiency, DOJ Criminal Div. 54158 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/54159/Record-breaking US DOJ year under False Claims Act.pdf 2026-03-02 0.5 0 File Record-breaking US DOJ year under False Claims Act 54159 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/54160/Executive Order 14173.pdf 2026-03-02 0.5 0 File Executive Order 14173 54160 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/54161/DOJ Shifts FCA Focus From Anti-DEI To Antidiscrimination - Law360.pdf 2026-03-02 0.5 0 File DOJ Shifts FCA Focus From Anti-DEI To Antidiscrimination - Law360 54161 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/54162/DOJ Announces Civil Rights Fraud Initiative Targeting Federal Fund Recipients’ Use Of DEI.pdf 2026-03-02 0.5 0 File DOJ Announces Civil Rights Fraud Initiative Targeting Federal Fund Recipients’ Use Of DEI 54162 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/54163/Civil Division _ The False Claims Act.pdf 2026-03-02 0.5 0 File Civil Division _ The False Claims Act 54163 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/54167/Criminal Division Corporate Enforcement, DOJ Criminal Div..pdf 2026-03-02 0.5 0 File Criminal Division Corporate Enforcement, DOJ Criminal Div. 54167 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/siteFiles/55338/FCC v. AT&T, Inc.; Verizon Communications, Inc. v. FCC (companion case).pdf 2026-06-08 0.5 0 File FCC V. AT&amp;T, INC.; VERIZON COMMUNICATIONS, INC. V. FCC (COMPANION CASE) 55338 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/ 2016-05-10 1.0 6238 Site Page Home 0 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit.aoshearman.com/attorneys 2016-06-29 1.0 6240 Site Page Contacts 0 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/new-criminal-charges-or-enforcement-actions-logit 2021-06-15 0.5 6252 Blog New Criminal Charges or Enforcement Actions Logitech and Ener 1<br > &nbsp; 2563 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/significant-judicial-opinions-robert-mcdonnell 2021-06-15 0.5 6252 Blog Significant Judicial Opinions - Robert McDonnell<br > &nbsp; 2564 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/government-regulators-reiterate-benefits-of-volun 2021-06-15 0.5 6252 Blog Government Regulators Reiterate Benefits of Voluntary Self-Reporting of Violations<br > &nbsp; 2570 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/second-circuit-holds-that-investment-advisers-can 2021-06-15 0.5 6252 Blog Second Circuit Holds that Investment Advisers Can Commit Fraud without Any Intent to Harm Clients<br > &nbsp; 2571 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sally-yates-defends-the-ldquoyates-memordquo-agai 2021-06-15 0.5 6252 Blog Sally Yates Defends the &ldquo;Yates Memo&rdquo; Against Legal Commentary<br > &nbsp; 2572 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/salman-highlights-the-debate-over-the-personal-benefit 2021-06-15 0.5 6252 Blog Opening Supreme Court Brief in Salman Highlights the Debate Over the Personal Benefit Standard for Insider Trading&nbsp;<br > &nbsp; 2573 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/recent-35-million-and-5-million-awards-suggest-th 2021-06-15 0.5 6252 Blog Recent $3.5 million and $5 million Awards Suggest that the SEC&rsquo;s Whistleblower Program is Expanding<br > &nbsp; 2590 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/finra-imposes-17-million-in-fines-on-raymond-jame 2021-06-15 0.5 6252 Blog FINRA Imposes $17 million in Fines on Raymond James for Anti-Money Laundering Failures&nbsp;<br > &nbsp; 2591 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/recent-data-suggests-that-the-sec-may-be-curbing- 2021-06-15 0.5 6252 Blog Recent Data Suggests that the SEC May Be Curbing Its Use of Administrative Proceedings as Forums For Enforcement Actions<br > &nbsp; 2597 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-and-doj-officials-comment-on-expectations-of- 2021-06-15 0.5 6252 Blog SEC and DOJ Officials Comment on Expectations of Compliance Professionals<br > &nbsp; 2626 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/finras-settlement-with-a-compliance-officer- 2021-06-15 0.5 6252 Blog FINRA&#39;s Settlement with a Compliance Officer for Alleged AML Violations May Not Signal a New Normal<br > &nbsp; 2627 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-guidance-may-preview-enforcement-actions-rega 2021-06-15 0.5 6252 Blog SEC Guidance May Preview Enforcement Actions Regarding the Use of Non-GAAP Measures<br > &nbsp; 2628 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/decision-to-charge-golfer-phil-mickelson-as-a-relief-defendant 2021-06-15 0.5 6252 Blog Decision to Charge Golfer Phil Mickelson as a &ldquo;Relief Defendant&rdquo; in Recent Insider Trading Action Highlights the Impact of United States v. Newman on Insider Trading Enforcement<br > &nbsp; 2629 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/second-circuit-holds-federal-courts-cannot-hear-c 2021-06-15 0.5 6252 Blog Second Circuit Holds Federal Courts Cannot Hear Constitutional Challenges to SEC ALJs until Administrative Proceedings<br > &nbsp; 2647 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/eleventh-circuit-decision-in-graham-bars-sec-from 2021-06-15 0.5 6252 Blog Eleventh Circuit Decision in Graham Bars SEC from Seeking Disgorgement or Declaratory Relief for Conduct Outside Statute of Limitations<br > &nbsp; 2648 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-enforcement-director-ceresney-signals-continusec-enforcement-director-ceresney-signals-continued 2021-06-15 0.5 6252 Blog SEC Enforcement Director Ceresney Signals Continued Focus on Private Equity Enforcement<br > &nbsp; 2684 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/judge-denies-motion-to-dismiss-the-ldquobridgegat 2021-06-15 0.5 6252 Blog Judge Denies Motion to Dismiss the &ldquo;Bridgegate&rdquo; Indictment and Permits Novel Application of Anti-Bribery Statute<br > &nbsp; 2685 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/recent-sec-administrative-proceedings-highlight-a 2021-06-15 0.5 6252 Blog Recent SEC Administrative Proceedings Highlight Agency&rsquo;s Renewed Focus on Addressing Accounting Fraud<br > &nbsp; 2686 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/the-sec-enters-into-two-fcpa-non-prosecution-agre 2021-06-15 0.5 6252 Blog The SEC Enters into Two FCPA Non-Prosecution Agreements in Light of Company Cooperation<br > &nbsp; 2687 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/second-circuit-holds-federal-courts-cannot-hear-constitutional 2021-06-15 0.5 6252 Blog Second Circuit Holds Federal Courts Cannot Hear Constitutional Challenges to SEC ALJs until Administrative Proceedings<br > &nbsp; 2688 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/eleventh-circuit-holds-that-sec-cannot-seek-disgo 2021-06-15 0.5 6252 Blog Eleventh Circuit Holds That SEC Cannot Seek Disgorgement or Declaratory Relief for Conduct Outside Statute of Limitations<br > &nbsp; 2689 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/german-financial-regulatorrsquos-decision-to-open 2021-06-15 0.5 6252 Blog German Financial Regulator&rsquo;s Decision To Open Whistleblower Office Highlights International Focus On Protecting Whistleblowers<br > &nbsp; 2739 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/supreme-court-limits-extraterritorial-application 2021-06-15 0.5 6252 Blog Supreme Court Limits Extraterritorial Application of Civil RICO<br > &nbsp; 2744 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/fund-administrator-settles-charges-that-it-failed 2021-06-15 0.5 6252 Blog Fund Administrator Settles Charges that it Failed its Gatekeeper Responsibilities<br > &nbsp; 2745 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/johnson-controls-incrsquos-fcpa-settlement-is-a-reminder 2021-06-15 0.5 6252 Blog Johnson Controls, Inc.&rsquo;s FCPA Settlement Is a Reminder That Extensive Cooperation Is Not a Free Pass&nbsp;<br > &nbsp; 2749 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/does-the-secrsquos-adoption-of-amendments-to-rule 2021-06-15 0.5 6252 Blog Does the SEC&rsquo;s Adoption of Amendments to Rules of Practice Mean It Will Resume Litigating Enforcement Actions as Administrative Proceedings?<br > &nbsp; 2750 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/us-supreme-court-limits-the-scope-of-what-constit 2021-06-15 0.5 6252 Blog U.S. Supreme Court Limits The Scope Of What Constitutes An &ldquo;Official Act&rdquo; And Overturns The Conviction Of Former Virginia Governor Robert McDonnell&nbsp;<br > &nbsp; 2754 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/in-significant-electronic-privacy-decision-second-circuit 2021-06-15 0.5 6252 Blog In Significant Electronic Privacy Decision, Second Circuit Rules That Search Warrant Provisions in SCA Do Not Apply Extraterritorially<br > &nbsp; 2759 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/defendant-settles-long-running-insider-trading-litigation 2021-06-15 0.5 6252 Blog Defendant Settles Long-Running Insider Trading Litigation<br > &nbsp; 2764 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/securities-enforcement-2016-mid-year-review 2021-06-15 0.5 6252 Blog Securities Enforcement: 2016 Mid-Year Review<br > &nbsp; 2774 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/in-the-matter-of-microsoft-why-it-matters 2021-06-15 0.5 6252 Blog In the Matter of Microsoft: Why It Matters<br > &nbsp; 2775 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/fcpa-digest-recent-trends-and-patterns 2021-06-15 0.5 6252 Blog FCPA Digest: Recent Trends &amp; Patterns<br > &nbsp; 2776 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/second-circuit-reaffirms-its-view-that-extender-statues-supersede 2021-06-15 0.5 6252 Blog Second Circuit Reaffirms Its View That Extender Statutes Supersede Statutes of Repose<br > &nbsp; 2777 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/dc-circuit-court-of-appeals-rejects-constitutional 2021-06-15 0.5 6252 Blog D.C. Circuit Court Of Appeals Rejects Constitutional Challenge to SEC&rsquo;s Use of Administrative Proceedings<br > &nbsp; 2845 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-levies-harsh-sanctions-against-former-kpmg-auditors 2021-06-15 0.5 6252 Blog SEC Levies Harsh Sanctions Against Former KPMG Auditors In ALJ Appeal<br > &nbsp; 2846 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-enters-into-first-settlement-agreements-penalizing-companies 2021-06-15 0.5 6252 Blog <br > SEC Enters Into First Settlement Agreements Penalizing Companies for Attempting to Block Employees from Receiving Whistleblower Reward Payments<br > &nbsp; 2853 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/in-reinstating-conviction-second-circuit-expands-federal-prosecutors-ability 2021-06-15 0.5 6252 Blog <br > In Reinstating Conviction, Second Circuit Expands Federal Prosecutors&rsquo; Ability to Prosecute Fraud Claims in New York<br > &nbsp; 2854 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/private-equity-advisers-settle-sec-charges-highlighting-sec-scrutiny 2021-06-15 0.5 6252 Blog Private Equity Advisers Settle SEC Charges, Highlighting The SEC&rsquo;s Continued Scrutiny Of Private Equity Firms<br > &nbsp; 2877 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/federal-banking-agencies-issue-joint-fact-sheet-to-help-assuage-banks-concerns 2021-06-15 0.5 6252 Blog Federal Banking Agencies Issue Joint Fact Sheet To Help Assuage Banks&rsquo; Concerns Regarding Anti-Money Laundering Enforcement&nbsp;<br > &nbsp; 2888 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/tenth-circuit-holds-that-disgorgement-is-not-subject-to-a-five-year-limitations-period 2021-06-15 0.5 6252 Blog Tenth Circuit Holds That Disgorgement Is Not Subject to A Five-Year Limitations Period&nbsp;&nbsp;<br > &nbsp; 2889 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/ninth-circuit-supports-expansive-interpretation-of-sox-304 2021-06-15 0.5 6252 Blog Ninth Circuit Supports Expansive Interpretation Of SOX 304<br > &nbsp; 2893 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/second-circuit-allows-joint-petition-for-rehearing-of-appeals 2021-06-15 0.5 6252 Blog Second Circuit Allows Joint Petition For Rehearing Of Appeals Challenging Constitutionality Of SEC Proceedings Before Administrative Law Judges<br > &nbsp; 2907 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/securities-enforcement-2016-mid-year-review- 2021-06-15 0.5 6252 Blog Securities Enforcement: 2016 Mid-Year Review<br > &nbsp; 2908 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/eleventh-circuit-rules-disgorgement-subject-to-five-year-limit 2021-06-15 0.5 6252 Blog Eleventh Circuit Rules Disgorgement Subject to Five-Year Limitations Period, Ruling Against SEC<br > &nbsp; 2909 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/portugal-telecom-settles-financial-reporting-allegations 2021-06-15 0.5 6252 Blog Portugal Telecom Settles Financial Reporting Allegations<br > &nbsp; 2912 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/dc-circuit-upholds-the-securities-and-exchange-commission 2021-06-15 0.5 6252 Blog D.C. Circuit Upholds The Securities And Exchange Commission&rsquo;s Newly Promulgated Regulation A-Plus<br > &nbsp; 2932 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-receives-93-million-settlement-in-auditor-independence 2021-06-15 0.5 6252 Blog SEC Receives $9.3 Million Settlement In Auditor Independence Actions<br > &nbsp; 2941 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/weatherford-settles-secrsquos-allegations-of-accounting-and-reporting-fraud 2021-06-15 0.5 6252 Blog Weatherford Settles SEC&rsquo;s Allegations Of Accounting And Reporting Fraud For $140 Million<br > &nbsp; 3006 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-fines-accountants-50000-for-violating-auditor-independence-rules 2021-06-15 0.5 6252 Blog SEC Fines Accountants $50,000 For Violating Auditor Independence Rules<br > &nbsp; 3086 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/dc-circuit-finds-cfpb-structure-unconstitutional 2021-06-15 0.5 6252 Blog D.C. Circuit Finds CFPB Structure Unconstitutional<br > &nbsp; 3100 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-fy2016-featured-a-record-breaking-numbers-of-enforcement-actions 2021-06-15 0.5 6252 Blog SEC FY2016 Featured A Record-Breaking Numbers Of Enforcement Actions And Whistleblower Awards&nbsp;<br > &nbsp; 3101 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/southern-district-of-new-york-denies-motion-to-dismiss 2021-06-15 0.5 6252 Blog Southern District Of New York Denies Motion To Dismiss Indictment In High-Profile Sanctions Prosecution<br > &nbsp; 3120 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/deceptive-advertising-settlement-between-online-gambling 2021-06-15 0.5 6252 Blog Deceptive Advertising Settlement Between Online Gambling Sites And NYAG Serves As Reminder Of NYAG&rsquo;s Broad Mandate For Consumer Protection&nbsp;<br > &nbsp; 3160 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-files-settled-accounting-case-against-fmc-tech 2021-06-15 0.5 6252 Blog SEC Files Settled Accounting Case Against FMC Technologies And Two FMC Officers For Books And Records Violations, Without Alleging Fraud<br > &nbsp; 3161 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-levies-half-million-dollar-fine-for-self-reporting 2021-06-15 0.5 6252 Blog SEC Levies Half-Million Dollar Fine For Self-Reported Accounting Errors<br > &nbsp; 3198 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/outbound-sec-chair-mary-jo-white-urges-continued- 2021-06-15 0.5 6252 Blog Outbound SEC Chair Mary Jo White Urges Continued Expansion Of Tools For SEC Enforcement&nbsp;<br > &nbsp; 3271 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/supreme-court-affirms-pecuniary-benefit-not-requi 2021-06-15 0.5 6252 Blog Supreme Court Affirms Pecuniary Benefit Not Required For Family Member Tips, Declines To Address What Constitutes A Benefit In Other Contexts<br > &nbsp; 3284 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/court-approves-sec-settlement-with-broker-dealer- 2021-06-15 0.5 6252 Blog Court Approves SEC Settlement With Broker-Dealer And Top Executive Regarding Marketing Of CDOs To School Districts<br > &nbsp; 3285 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/the-supreme-court-affirms-expansive-reading-of-th 2021-06-15 0.5 6252 Blog The Supreme Court Affirms Expansive Reading Of The Bank Fraud Act<br > &nbsp; 3320 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/teva-pharmaceuticals-enters-into-fourth-largest-f 2021-06-15 0.5 6252 Blog Teva Pharmaceuticals Enters Into Fourth-Largest FCPA Settlement&nbsp;<br > &nbsp; 3385 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/odebrecht-and-braskem-shatter-fcpa-settlement-rec 2021-06-15 0.5 6252 Blog Odebrecht And Braskem Shatter FCPA Settlement Records By Agreeing To Resolve Enforcement Action For $3.5 Billion For Role In Petrobras Scandal<br > &nbsp; 3386 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sandridge-energy-settles-claims-of-whistleblower- 2021-06-15 0.5 6252 Blog SandRidge Energy Settles Claims Of Whistleblower Retaliation And Overly Restrictive Settlement Agreements<br > &nbsp; 3387 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/doj-reaches-final-resolutions-on-swiss-bank-progr 2021-06-15 0.5 6252 Blog DOJ Reaches Final Resolutions On Swiss Bank Program<br > &nbsp; 3408 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/the-sec-charges-three-chinese-nationals-with-insi 2021-06-15 0.5 6252 Blog The SEC Charges Three Chinese Nationals With Insider Trading Related To Information That Was Hacked From Two New York Law Firms<br > &nbsp; 3409 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/tenth-circuit-splits-with-dc-circuit-on-constitut 2021-06-15 0.5 6252 Blog Tenth Circuit Splits With D.C. Circuit On Constitutionality Of SEC ALJs<br > &nbsp; 3425 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/mondelz-agrees-to-pay-13-million-to-resolve-secrs 2021-06-15 0.5 6252 Blog Mondelēz Agrees To Pay $13 Million To Resolve SEC&rsquo;s FCPA Claims<br > &nbsp; 3445 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-partially-overturns-administrative-law-judger 2021-06-15 0.5 6252 Blog SEC Partially Overturns Administrative Law Judge&rsquo;s Fraud Findings In Harding Advisory Case, But Increases Disgorgement For Others<br > &nbsp; 3446 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/supreme-court-grants-certiorari-to-resolve-circui 2021-06-15 0.5 6252 Blog Supreme Court Grants <em >Certiorari </em >To Resolve Circuit Split Relating To Timing Of SEC Disgorgement Actions<br > &nbsp; 3468 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/blackrock-settles-sec-charges-relating-to-its-all 2021-06-15 0.5 6252 Blog BlackRock Settles SEC Charges Relating To Its Alleged Practice Of Requiring Employees To Waive Rights To Whistleblower Incentive Payments&nbsp;<br > &nbsp; 3469 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/orthofix-settles-secrsquos-accounting-and-fcpa-cl 2021-06-15 0.5 6252 Blog Orthofix Settles SEC&rsquo;s Accounting And FCPA Claims With Admissions<br > &nbsp; 3481 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/shipping-conglomerate-osg-and-former-cfo-agree-to 2021-06-15 0.5 6252 Blog Shipping Conglomerate OSG And Former CFO Agree To Settle SEC Claims Over Failure To Recognize Tax Liabilities<br > &nbsp; 3482 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/bond-trader-acquitted-of-all-but-one-securities-f 2021-06-15 0.5 6252 Blog Bond Trader Acquitted Of All But One Securities Fraud Charges In Retrial<br > &nbsp; 3485 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-charged-new-york-brokerage-firm-and-former-co 2021-06-15 0.5 6252 Blog SEC Charged New York Brokerage Firm And Former Compliance Officer With Gatekeeping And AML Failures Related To Penny Stock Sales<br > &nbsp; 3527 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/northern-district-of-california-limits-secrsquos- 2021-06-15 0.5 6252 Blog Northern District Of California Limits SEC&rsquo;s Disgorgement Reach Under SOX 304<br > &nbsp; 3546 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/california-jury-finds-that-bio-rad-violated-the-w 2021-06-15 0.5 6252 Blog California Jury Finds That Bio-Rad Violated The Whistleblower Protections Of The Sarbanes-Oxley Act By Terminating Its General Counsel<br > &nbsp; 3547 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-settles-revenue-recognition-allegations-and-c 2021-06-15 0.5 6252 Blog SEC Settles Revenue Recognition Allegations And Charges Two Executives<br > &nbsp; 3548 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-announces-enforcement-actions-arising-out-of- 2021-06-15 0.5 6252 Blog <p ><span ><font >SEC Announces Enforcement Actions Arising Out Of Corporate Governance Disputes</font ></span ><br > &nbsp;</p > 3568 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/us-department-of-justice-issues-guidance-on-corpo 2021-06-15 0.5 6252 Blog U.S. Department Of Justice Issues Guidance On Corporate Compliance Programs<br > &nbsp; 3597 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/southern-district-of-new-york-finds-that-governme 2021-06-15 0.5 6252 Blog Southern District Of New York Finds That Government Leaks Do Not Warrant Dismissal Of Insider Trading Charges Against Billy Walters<br > &nbsp; 3624 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/secrsquos-securities-fraud-lawsuit-against-texas- 2021-06-15 0.5 6252 Blog SEC&rsquo;s Securities Fraud Lawsuit Against Texas Attorney General Dismissed For Second Time Over Lack Of Duty To Investors&nbsp;<br > &nbsp; 3657 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/finra-dismisses-insider-trading-charges 2021-06-15 0.5 6252 Blog FINRA Dismisses Insider Trading Charges<br > &nbsp; 3668 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/district-court-rules-that-trader-can-be-liable-fo 2021-06-15 0.5 6252 Blog District Court Rules That Trader Can Be Liable For Insider Trading On Misappropriation Grounds Even When Information Was Not Shared In Confidence If A Duty Of Trust And Confidence Later Emerged<br > &nbsp; 3712 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/utah-district-court-limits-reach-of-morrison-by-h 2021-06-15 0.5 6252 Blog Utah District Court Limits Reach Of <em >Morrison </em >By Holding That Section 10(b) Of The Exchange Act And Section 17(a) Of The Securities Act Can Be Applied Extraterritorially In Actions Brought By The SEC And The United States&nbsp;&nbsp;<br > &nbsp; 3743 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-files-enforcement-actions-against-multiple-de 2021-06-15 0.5 6252 Blog SEC Files Enforcement Actions Against Multiple Defendants In &ldquo;Trolling-Type&rdquo; Scheme To Generate False Publicity For Certain Issuers<br > &nbsp; 3754 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/administrative-law-judge-rules-against-sec-in-ins 2021-06-15 0.5 6252 Blog Administrative Law Judge Rules Against SEC In Insider Trading Case<br > &nbsp; 3791 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/former-bond-trader-jesse-litvak-sentenced-to-two- 2021-06-15 0.5 6252 Blog Former Bond Trader Jesse Litvak Sentenced To Two Years&rsquo; Imprisonment After High-Profile Re-Trial In Securities Fraud Case<br > &nbsp; 3816 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/administration-unveils-new-department-of-justice- 2021-06-15 0.5 6252 Blog Administration Unveils New Department Of Justice Charging And Sentencing Policies For Federal Prosecutors<br > &nbsp; 3859 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/more-bond-traders-sued-by-the-sec-for-alleged-fra 2021-06-15 0.5 6252 Blog More Bond Traders Sued By The SEC For Alleged Fraudulent Misrepresentations Relating To MBS Prices<br > &nbsp; 3876 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/united-states-supreme-court-holds-sec-disgorgemen 2021-06-15 0.5 6252 Blog <p >United States Supreme Court Holds SEC Disgorgement Orders Subject To Five-Year Statute Of Limitations<br > &nbsp;</p > 3903 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/supreme-court-of-the-united-states-finds-criminal 2021-06-15 0.5 6252 Blog Supreme Court Of The United States Finds Criminal Forfeiture Statute Does Not Provide For Joint And Several Liability<br > &nbsp; 3916 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/bond-traders-beat-most-charges-in-rmbs-fraud-case 2021-06-15 0.5 6252 Blog Bond Traders Beat Most Charges In RMBS Fraud Case&nbsp;<br > &nbsp; 3925 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/eighth-circuit-vacates-disgorgement-order-as-time 2021-06-15 0.5 6252 Blog Eighth Circuit Vacates Disgorgement Order As Time-Barred Under Kokesh But Leaves Injunction Undisturbed&nbsp;<br > &nbsp; 3947 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/fourth-declination-with-disgorgement-announced-un 2021-06-15 0.5 6252 Blog Fourth Declination With Disgorgement Announced Under FCPA Pilot Program<br > &nbsp; 3948 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/the-second-circuit-overturns-watershed-conviction 2021-06-15 0.5 6252 Blog The Second Circuit Overturns Watershed Conviction Of Sheldon Silver Based On Recent Supreme Court Decision<br > &nbsp; 3987 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/second-circuit-finds-that-hsbc-monitorrsquos-repo 2021-06-15 0.5 6252 Blog Second Circuit Finds That HSBC Monitor&rsquo;s Reports Need Not Be Publicly Disclosed<br > &nbsp; 3988 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/second-circuit-overturns-convictions-dismisses-in 2021-06-15 0.5 6252 Blog Second Circuit Overturns Convictions, Dismisses Indictments In LIBOR Case Due To Taint Of Testimony Compelled By Foreign Government<br > &nbsp; 4014 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-brings-first-corporate-fcpa-enforcement-actio 2021-06-15 0.5 6252 Blog SEC Brings First Corporate FCPA Enforcement Action Under Its New Leadership<br > &nbsp; 4029 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/doj-and-sec-file-parallel-criminal-and-civil-insi 2021-06-15 0.5 6252 Blog DOJ And SEC File Parallel Criminal And Civil Insider Trading Charges Against Scientist Who Conducted Internet Searches On How To Avoid SEC Detection<br > &nbsp; 4030 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/investment-adviser-settles-sec-allegations-over-d 2021-06-15 0.5 6252 Blog Investment Adviser Settles SEC Allegations Over Directing Clients To High-Fee Mutual Fund Share Classes&nbsp;<br > &nbsp; 4190 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/government-dismisses-all-charges-in-benjamin-wey- 2021-06-15 0.5 6252 Blog Government Dismisses All Charges In Benjamin Wey Securities Fraud Case After U.S. District Judge Suppresses All Evidence Obtained Pursuant To Search Warrant<br > &nbsp; 4217 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/seventh-circuit-upholds-first-spoofing-conviction 2021-06-15 0.5 6252 Blog Seventh Circuit Upholds First Spoofing Conviction Against High-Frequency Trader<br > &nbsp; 4218 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/audit-firm-and-engagement-partner-settle-sec-alle 2021-06-15 0.5 6252 Blog Audit Firm And Engagement Partner Settle SEC Allegations Stemming From 2011 Audit Of A New Client&nbsp;<br > &nbsp; 4230 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/a-second-broker-dealer-settles-sec-allegations-ov 2021-06-15 0.5 6252 Blog A Second Broker-Dealer Settles SEC Allegations Over Improper Handling Of Pre-Released ADRs<br > &nbsp; 4234 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/divided-second-circuit-panel-abandons-relationshi 2021-06-15 0.5 6252 Blog Divided Second Circuit Panel Abandons Relationship Test From Landmark <em >Newman</em > Decision In Upholding Insider Trading Conviction<br > &nbsp; 4235 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-files-administrative-proceeding-against-an-in 2021-06-15 0.5 6252 Blog SEC Files Administrative Proceeding Against An Investment Services Firm For Improperly Recommending Higher-Fee Mutual Funds To Investment Clients<br > &nbsp; 4284 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/doj-and-sec-bring-major-fcpa-enforcement-actions- 2021-06-15 0.5 6252 Blog DOJ And SEC Bring Major FCPA Enforcement Actions Against Swedish Telecom Firm, Imposing One Of Largest FCPA Penalties In History<br > &nbsp; 4294 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/second-circuit-overturns-convictions-of-former-se 2021-06-15 0.5 6252 Blog Second Circuit Overturns Convictions Of Former Senate Majority Leader Dean Skelos And His Son Based On Supreme Court&rsquo;s McDonnell Decision<br > &nbsp; 4305 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/secrsquos-alj-dismisses-fraud-charges-in-high-pro 2021-06-15 0.5 6252 Blog SEC&rsquo;s ALJ Dismisses Fraud Charges In High-Profile Lynn Tilton Case<br > &nbsp; 4306 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/dc-circuit-applies-janus-to-set-aside-sec-sanctions 2021-06-15 0.5 6252 Blog <strong >D.C. Circuit Applies <em >Janus</em > To Set Aside SEC Sanctions Against Investment Banker</strong ><br > &nbsp; 4313 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/cftc-imposes-sanctions-on-a-proprietary-trading-f 2021-06-15 0.5 6252 Blog CFTC Imposes Sanctions On A Proprietary Trading Firm For Spoofing The Market<br > &nbsp; 4354 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/forex-trader-found-guilty-of-defrauding-clientnbs 2021-06-15 0.5 6252 Blog Forex Trader Found Guilty Of Defrauding Client<br > &nbsp; 4370 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/dc-district-court-compels-former-lawyer-to-presid 2021-06-15 0.5 6252 Blog D.C. District Court Compels Former Lawyer To President Trump&rsquo;s Campaign Manager To Answer Special Counsel&rsquo;s Questions Regarding Aspects Of Her Prior Representation&mdash;Finding That Scope Of Special Counsel&rsquo;s Inquiry Falls Within &ldquo;Crime-Fraud&rdquo; And Other Exceptions To Applicable Privileges&nbsp;<br > &nbsp; 4395 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/cftc-fines-cargill-10-million-for-misreporting-sw 2021-06-15 0.5 6252 Blog CFTC Fines Cargill $10 Million For Misreporting Swap Trades<br > &nbsp; 4406 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/charges-unsealed-against-five-individuals-includi 2021-06-15 0.5 6252 Blog Charges Unsealed Against Five Individuals, Including Two Executives, In Foreign Bribery Scheme Involving Rolls-Royce<br > &nbsp; 4407 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/bank-of-tokyo-mitsubishi-sues-dfs-and-alleges-tha 2021-06-15 0.5 6252 Blog Bank Of Tokyo Mitsubishi Sues DFS And Alleges That DFS Has No Investigatory Or Enforcement Authority Over It Since It Is Now Federally Licensed<br > &nbsp; 4454 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/deputy-attorney-general-rod-rosenstein-announces- 2021-06-15 0.5 6252 Blog Deputy Attorney General Rod Rosenstein Announces Revised FCPA Corporate Enforcement Policy<br > &nbsp; 4513 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/supreme-court-oral-argument-suggests-skepticism-o 2021-06-15 0.5 6252 Blog Supreme Court Oral Argument Suggests Skepticism Over SEC Rule Protecting Internal Whistleblowers From Retaliation Under Dodd-Frank<br > &nbsp; 4514 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-announces-cease-and-desist-order-against-coup 2021-06-15 0.5 6252 Blog SEC Announces Cease-and-Desist Order Against Couple And Their Respective Hedge Funds Over Sharing Of Confidential Strategies From Another Fund<br > &nbsp; 4563 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/doj-announces-dpa-and-guilty-plea-involving-nethe 2021-06-15 0.5 6252 Blog DOJ Announces DPA And Guilty Plea Involving Netherlands-Based Energy Services Firm That DOJ Claims Failed To Promptly Report Alleged FCPA Violations<br > &nbsp; 4564 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/in-reversal-sec-agrees-that-its-administrative-la 2021-06-15 0.5 6252 Blog In Reversal, SEC Agrees That Its Administrative Law Judges Are Inferior Officers That Require Commission Appointment, But Still Seeks Supreme Court Review To Resolve Circuit Split<br > &nbsp; 4565 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-charges-advisory-firm-for-breaches-of-fiducia 2021-06-15 0.5 6252 Blog SEC Charges Advisory Firm For Breaches Of Fiduciary Duties<br > &nbsp; 4599 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/the-supreme-court-agrees-to-review-appointment-re 2021-06-15 0.5 6252 Blog The Supreme Court Agrees To Review Appointment Requirements For SEC&rsquo;s In-House Judges&nbsp;&nbsp;<br > &nbsp; 4732 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/us-supreme-court-to-review-ex-ceorsquos-appeal-re 2021-06-15 0.5 6252 Blog U.S. Supreme Court To Review Ex-CEO&rsquo;s Appeal Regarding Restitution Of Legal Fees Associated With An Internal Investigation<br > &nbsp; 4760 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/hsbc-enters-into-deferred-prosecution-agreement-t 2021-06-15 0.5 6252 Blog HSBC Enters Into Deferred Prosecution Agreement To Settle Charges Arising From Traders&rsquo; Alleged FX Front-Running<br > &nbsp; 4792 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/pcaob-and-accounting-firm-employees-charged-with- 2021-06-15 0.5 6252 Blog PCAOB And Accounting Firm Employees Charged With Misuse Of Confidential Data To Improve Firm&rsquo;s Inspection Results<br > &nbsp; 4793 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/doj-and-cftc-recent-actions-highlight-their-incre 2021-06-15 0.5 6252 Blog DOJ And CFTC Recent Actions Highlight Their Increased Focus On &ldquo;Spoofing&rdquo;<br > &nbsp; 4823 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/us-subsidiary-of-dutch-bank-pleads-guilty-to-allegations 2021-06-15 0.5 6252 Blog U.S. Subsidiary Of Dutch Bank Pleads Guilty To Allegations That It Conspired To Obstruct OCC Examination Of AML Program<br > &nbsp; 4845 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/third-circuit-vacates-insider-trading-sentence-based 2021-06-15 0.5 6252 Blog Third Circuit Vacates Insider Trading Sentence Based In Part On Third-Party&rsquo;s Trading<br > &nbsp; 4899 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/supreme-court-finds-dodd-frank-does-not-protect-internal 2021-06-15 0.5 6252 Blog Supreme Court Finds Dodd-Frank Does Not Protect Internal Whistleblowers<br > &nbsp; 4900 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/the-supreme-court-hears-oral-arguments-in-united-v-microsoft 2021-06-15 0.5 6252 Blog The Supreme Court Hears Oral Arguments In <em >United States v. Microsoft</em >&nbsp;<br > &nbsp; 4922 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/eastern-district-of-new-york-grants-preliminary-i 2021-06-15 0.5 6252 Blog Eastern District Of New York Grants Preliminary Injunction In Opinion Backing CFTC&rsquo;s Authority To Regulate Cryptocurrency<br > &nbsp; 4945 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/doj-announces-intent-to-apply-principles-from-fcpa 2021-06-15 0.5 6252 Blog DOJ Announces Intent To Apply Principles From FCPA Corporate Enforcement Policy To Other White Collar Contexts&nbsp;<br > &nbsp; 4946 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-levies-18-million-fine-on-nyse-and-affiliated 2021-06-15 0.5 6252 Blog SEC Levies $18 Million Fine On NYSE And Affiliated Exchanges For Alleged Securities Act And Exchange Act Violations<br > &nbsp; 4947 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/fbi-director-states-that-companies-that-suffer-data 2021-06-15 0.5 6252 Blog FBI Director States That Companies That Suffer Data Breaches Will Be Treated As Victims For Law Enforcement Purposes<br > &nbsp; 4998 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/record-breaking-whistleblowing-awards-continue-incentives 2021-06-15 0.5 6252 Blog Record-Breaking Whistleblowing Awards Continue Incentives To Report Misconduct To The SEC<br > &nbsp; 5046 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-and-finra-fine-broker-dealer-ceo-and-compliance 2021-06-15 0.5 6252 Blog SEC And FINRA Fine Broker-Dealer, CEO, And Compliance Officer For Failing To File Suspicious Activity Reports<br > &nbsp; 5090 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/criminal-and-civil-charges-filed-in-connection-wi 2021-06-15 0.5 6252 Blog <p >Criminal And Civil Charges Filed In Connection With Initial Coin Offering By Centra Tech</p > 5117 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-under-new-safe-harbor-awards-more-than-2-million 2021-06-15 0.5 6252 Blog SEC, Under New Safe Harbor, Awards More Than $2.2 Million To Whistleblower Who First Reported To Another Federal Agency<br > &nbsp; 5159 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/the-supreme-court-dismisses-as-moot-microsoft-cas 2021-06-15 0.5 6252 Blog The Supreme Court Dismisses As Moot Microsoft Case That Had Challenged The Government&rsquo;s Ability To Obtain Search Warrant For Electronic Data Stored Abroad<br > &nbsp; 5191 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/connecticut-jury-acquits-former-trader-of-spoofing 2021-06-15 0.5 6252 Blog Connecticut Jury Acquits Former Trader Of Spoofing-Related Charges<br > &nbsp; 5222 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-issues-35-million-fine-for-alleged-failure-to 2021-06-15 0.5 6252 Blog SEC Issues $35 Million Fine For Alleged Failure To Disclose Data Breach<br > &nbsp; 5223 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/second-circuit-once-again-vacates-bond-trader-jesse 2021-06-15 0.5 6252 Blog Second Circuit Once Again Vacates Bond Trader Jesse Litvak&rsquo;s Conviction For Securities Fraud<br > &nbsp; 5248 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/doj-announces-formalization-of-policy-on-corporate 2021-06-15 0.5 6252 Blog DOJ Announces Formalization Of Policy On Corporate Resolution Penalties&nbsp;<br > &nbsp; 5283 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/finra-and-sec-fine-two-entities-for-anti-money-laundering 2021-06-15 0.5 6252 Blog FINRA And SEC Fine Two Entities For Anti-Money Laundering Compliance Deficiencies And Other Violations<br > &nbsp; 5303 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/united-states-supreme-court-reverses-and-remands 2021-06-15 0.5 6252 Blog United States Supreme Court Reverses And Remands SEC Administrative Proceeding - Finding That SEC Administrative Law Judges Are Subject To The Appointments Clause Of The Constitution And Were Not Properly Appointed By The SEC<br > &nbsp; 5440 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-proposes-amendments-to-its-whistleblower-prog 2021-06-15 0.5 6252 Blog SEC Proposes Amendments To Its Whistleblower Program<br > &nbsp; 5467 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/second-circuit-amends-martoma-and-reaffirms-but-a 2021-06-15 0.5 6252 Blog Second Circuit Amends <em >Martoma</em > And Reaffirms, But Arguably Still Weakens, <em >Newman&rsquo;s</em > &ldquo;Meaningfully Close Personal Relationship&rdquo; Test In Insider Trading Cases Involving Tips<br > &nbsp; 5468 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/supreme-court-requires-law-enforcement-to-obtain- 2021-06-15 0.5 6252 Blog Supreme Court Requires Law Enforcement To Obtain Search Warrants Before Accessing Certain Cell Phone Location Data<br > &nbsp; 5469 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-files-settled-action-concerning-accounting-issues 2021-06-15 0.5 6252 Blog SEC Files Settled Action Concerning Accounting Issues That Led To A Restatement In 2014<br > &nbsp; 5495 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-settles-fcpa-allegations-concerning-allegedly 2021-06-15 0.5 6252 Blog SEC Settles FCPA Allegations Concerning Allegedly Improper Payments By Company&rsquo;s Indian Subsidiary<br > &nbsp; 5496 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/company-settles-with-the-sec-for-allegedly-failing 2021-06-15 0.5 6252 Blog Company Settles With The SEC For Allegedly Failing To File Required Suspicious Activity Reports<br > &nbsp; 5497 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/secrsquos-fcpa-charges-against-executives-dismiss 2021-06-15 0.5 6252 Blog SEC&rsquo;s FCPA Charges Against Executives Dismissed As Time-Barred<br > &nbsp; 5532 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-announces-settled-enforcement-action-over-failure-to-preserve-documents 2021-06-15 0.5 6252 Blog SEC Announces Settled Enforcement Action Over Failure To Preserve Documents<br > &nbsp; 5603 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/northern-district-of-california-certifies-class-i 2021-06-15 0.5 6252 Blog Northern District Of California Certifies Class In Securities Stock Drop Suit, Finding That &ldquo;In-and-Out&rdquo; Traders Should Not Be Excluded From The Class Definition<br > &nbsp; 5647 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/united-states-moves-to-dismiss-sole-remaining-change 2021-06-15 0.5 6252 Blog United States Moves To Dismiss Sole Remaining Charge In Long-Running Securities Fraud Case<br > &nbsp; 5685 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/former-forex-trader-successfully-avoids-extradition 2021-06-15 0.5 6252 Blog Former Forex Trader Successfully Avoids Extradition From The UK Through Appeal To UK&rsquo;s High Court Of Justice<br > &nbsp; 5717 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/finra-fines-broker-dealer-55-million-for-violations 2021-06-15 0.5 6252 Blog FINRA Fines Broker-Dealer $5.5 Million For Violations Of Regulation SHO<br > &nbsp; 6755 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-lifts-post-lucia-stay-on-pending-administrative 2021-06-15 0.5 6252 Blog SEC Lifts Post-<em >Lucia </em >Stay On Pending Administrative Proceedings And Announces Rehearings For Dozens Of Previously Heard Cases<br > &nbsp; 6756 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/second-circuit-limits-extraterritorial-application 2021-06-15 0.5 6252 Blog Second Circuit Limits Extraterritorial Application of FCPA<br > &nbsp; 6792 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-charges-rating-agency-with-internal-controls 2021-06-15 0.5 6252 Blog SEC Charges Rating Agency With Internal Controls Failures And Ratings Symbols Deficiencies<br > &nbsp; 6793 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/significant-judicial-and-enforcement-developments 2021-06-15 0.5 6252 Blog Significant Judicial And Enforcement Developments In The Cryptocurrency Space<br > &nbsp; 6828 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/tesla-musk-settle-tweet-related-sec-charges 2021-06-15 0.5 6252 Blog Tesla, Musk Settle Tweet-Related SEC Charges<br > &nbsp; 6891 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-brings-enforcement-action-against-broker-dealer-for-deficient-cybersecurity-procedures 2021-06-15 0.5 6252 Blog SEC Brings Enforcement Action Against Broker-Dealer For Deficient Cybersecurity Procedures<br > &nbsp; 6892 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/medical-device-manufacturer-enters-into-second-fcpa 2021-06-15 0.5 6252 Blog Medical Device Manufacturer Enters Into Second FCPA Settlement In Five Years With SEC<br > &nbsp; 6922 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/cftc-brings-new-insider-trading-case-in-conjunction 2021-06-15 0.5 6252 Blog CFTC Brings New Insider Trading Case In Conjunction With Announcing Insider Trading Task Force<br > &nbsp; 6923 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/district-of-massachusetts-denies-motion-to-dismiss 2021-06-15 0.5 6252 Blog District Of Massachusetts Denies Motion To Dismiss, Finds Virtual Currency &ldquo;My Big Coin&rdquo; Is A Commodity Under Commodity Exchange Act<br > &nbsp; 6924 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-obtains-temporary-restraining-order-halting 2021-06-15 0.5 6252 Blog SEC Obtains Temporary Restraining Order Halting Initial Coin Offering<br > &nbsp; 6941 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/doj-announces-updated-policy-on-selection-of-corporate-monitors 2021-06-15 0.5 6252 Blog DOJ Announces Updated Policy On Selection Of Corporate Monitors<br > &nbsp; 6978 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-enforcement-division-releases-report-on-fy-2018 2021-06-15 0.5 6252 Blog SEC Enforcement Division Releases Report On FY 2018, Highlighting Focus On Cyber And Efforts To Protect Retail Investors<br > &nbsp; 7039 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/second-circuit-court-of-appeals-reverses-investment 2021-06-15 0.5 6252 Blog Second Circuit Court Of Appeals Reverses Investment Banker&rsquo;s Insider Trading Conviction<br > &nbsp; 7072 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/bank-of-england-imposes-personal-fines-on-two-individuals 2021-06-15 0.5 6252 Blog Bank Of England Imposes Personal Fines On Two Individuals For Failure To Disclose Ongoing Enforcement Actions<br > &nbsp; 7074 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/ico-issuers-settle-with-the-sec-over-unregistered 2021-06-15 0.5 6252 Blog ICO Issuers Settle With The SEC Over Unregistered Coin Offerings<br > &nbsp; 7106 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/doj-scales-back-yates-memo-policy-for-corporate 2021-06-15 0.5 6252 Blog DOJ Scales Back Yates Memo Policy For Corporate Cooperation<br > &nbsp; 7189 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-loses-bid-for-preliminary-injunction-halting 2021-06-15 0.5 6252 Blog SEC Loses Bid For Preliminary Injunction Halting Initial Coin Offering After Judge Questions Whether It Involved Securities<br > &nbsp; 7190 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/ofac-identifies-digital-currency-addresses-of-iran 2021-06-15 0.5 6252 Blog OFAC Identifies Digital Currency Addresses Of Iran-Based Financial Facilitators, Highlighting Its Focus On Sanctions Compliance In Crypto Space<br > &nbsp; 7191 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/second-circuit-affirms-insider-trading-conviction 2021-06-15 0.5 6252 Blog Second Circuit Affirms Insider Trading Conviction And Vacates Restitution Order Of Sports Gambler Billy Walters<br > &nbsp; 7231 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/following-bench-trial-southern-district-of-new-york 2021-06-15 0.5 6252 Blog Following Bench Trial, Southern District Of New York Finds That CFTC Failed To Prove Artificiality And Enters Judgment For Defendants In Market Manipulation Action<br > &nbsp; 7232 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/fourth-depositary-bank-settles-sec-allegations-of-improper 2021-06-15 0.5 6252 Blog Fourth Depositary Bank Settles SEC Allegations Of Improper Handling Of Pre-Release ADRs<br > &nbsp; 8271 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/rental-car-company-enters-into-settlement-with-the-sec 2021-06-15 0.5 6252 Blog Rental Car Company Enters Into Settlement With The SEC Related To Alleged Accounting Errors<br > &nbsp; 8272 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/second-circuit-re-affirms-insider-trading-conviction-rajat-gupta 2021-06-15 0.5 6252 Blog Second Circuit Re-Affirms Insider Trading Conviction Of Rajat Gupta<br > &nbsp; 8295 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/finra-issues-2019-annual-risk-monitoring-and-exam 2021-06-15 0.5 6252 Blog FINRA Issues 2019 Annual Risk Monitoring and Examination Priorities Letter, Highlighting Potential Areas Of Enforcement Risk<br > &nbsp; 8324 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/tenth-circuit-holds-that-dodd-frank-act-granted 2021-06-15 0.5 6252 Blog Tenth Circuit Holds That Dodd-Frank Act Granted SEC Extraterritorial Authority<br > &nbsp; 8342 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/after-second-look-judge-grants-sec-bid-for-preliminary 2021-06-15 0.5 6252 Blog After Second Look, Judge Grants SEC Bid for Preliminary Injunction Halting Initial Coin Offering<br > &nbsp; 8353 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/technology-services-company-enters-into-fcpa-settlement 2021-06-15 0.5 6252 Blog Technology Services Company Enters Into FCPA Settlement With SEC, While SEC And DOJ Charge Two Former Executives With FCPA Violations<br > &nbsp; 8354 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/cftc-settles-spoofing-charges-against-trader-without-monetary 2021-06-15 0.5 6252 Blog CFTC Settles Spoofing Charges Against Trader Without Monetary Penalty<br > &nbsp; 8400 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/cftc-declines-to-appeal-ruling-that-it-failed-to- 2021-06-15 0.5 6252 Blog CFTC Declines To Appeal Ruling That It Failed To Prove Artificiality In Market Manipulation Action 8402 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/federal-judge-acquits-former-fx-trader-on-charges 2021-06-15 0.5 6252 Blog Federal Judge Acquits Former FX Trader on Charges Related to Alleged Front-Running and Price Manipulation<br > &nbsp; 8424 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/telecommunications-provider-amp-subsidiary-enter-into-settlement 2021-06-15 0.5 6252 Blog Telecommunications Provider &amp; Subsidiary Enter Into Settlement, Deferred Prosecution Agreement And Plea Agreement With SEC And DOJ For FCPA Violations In Third Recent Enforcement Proceeding Involving Uzbek Telecommunications Market<br > &nbsp; 8425 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/cftc-announces-further-incentives-for-self-reporting 2021-06-15 0.5 6252 Blog CFTC Announces Further Incentives For Self-Reporting, Cooperation For Unregistered Individuals And Entities, While Highlighting Focus On Foreign Corruption<br > &nbsp; 8426 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/doj-revises-fcpa-corporate-enforcement-policy 2021-06-15 0.5 6252 Blog DOJ Revises FCPA Corporate Enforcement Policy<br > &nbsp; 8446 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-settles-charges-against-investment-advisers 2021-06-15 0.5 6252 Blog SEC Settles Charges Against Investment Advisers And Returns $125 Million To Investors<br > &nbsp; 8447 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-awards-total-of-50-million-to-two-whistleblowers-in-a-single-action 2021-06-15 0.5 6252 Blog SEC Awards Total Of $50 Million To Two Whistleblowers In A Single Action, While Denying Five Other Claimants<br > &nbsp; 8493 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/doj-and-sec-announce-resolution-of-fcpa-investigation-that-spanned-over-fifteen-countries 2021-06-15 0.5 6252 Blog DOJ And SEC Announce Resolution Of FCPA Investigation That Spanned Over Fifteen Countries With NPA, Monitor, And Over $231 Million In Disgorgement And Fines<br > &nbsp; 8494 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/dc-circuit-clarifies-ldquowillfulnessrdquo-requir 2021-06-15 0.5 6252 Blog D.C. Circuit Clarifies &ldquo;Willfulness&rdquo; Requirement For Investment Advisers Act Violations, In Decision With Possible Ramifications For SEC Sanction Authority<br > &nbsp; 8584 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/doj-criminal-division-announces-updated-corporate 2021-06-15 0.5 6252 Blog DOJ Criminal Division Announces Updated Corporate Compliance Program Guidance<br > &nbsp; 8585 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-files-contested-complaint-over-unregistered-100-million-initial-coin-offering 2021-06-15 0.5 6252 Blog SEC Files Contested Complaint Over Unregistered $100 Million Initial Coin Offering, In Case That Could Clarify Application Of Registration Requirements To Cryptocurrency<br > &nbsp; 8713 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-awards-3-million-to-two-whistleblowers-who-first-made-internal-reports 2021-06-15 0.5 6252 Blog SEC Awards $3 Million To Two Whistleblowers Who First Made Internal Reports, Even Though Reporting To SEC Was Not &ldquo;Voluntary&rdquo;<br > &nbsp; 8714 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/french-oil-and-gas-company-and-us-subsidiary-fined 2021-06-15 0.5 6252 Blog French Oil And Gas Company And U.S. Subsidiary Fined $296 Million Over Alleged Foreign Bribery Schemes Involving Brazil And Iraq<br > &nbsp; 8785 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/in-significant-shift-sec-will-consider-offers-of-settlement-and-collateral-waiver-applications-toget 2021-06-15 0.5 6252 Blog In Significant Shift, SEC Will Consider Offers Of Settlement And Collateral Waiver Applications Together<br > &nbsp; 8813 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/finra-releases-new-guidance-on-extraordinary-coop 2021-06-15 0.5 6252 Blog FINRA Releases New Guidance On Extraordinary Cooperation Credit<br > &nbsp; 8846 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/technology-company-resolves-doj-and-sec-fcpa-alle 2021-06-15 0.5 6252 Blog Technology Company Resolves DOJ And SEC FCPA Allegations, With Hungary Subsidiary Entering Three-Year, Monitor-Free NPA<br > &nbsp; 8909 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/second-circuit-limits-the-application-of-mcdonnel 2021-06-15 0.5 6252 Blog Second Circuit Limits The Application Of <em >McDonnell v. United States</em > And Declines To Extend The Potential Scope Of Liability In FCPA Cases<br > &nbsp; 8958 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/options-clearing-corporation-enters-into-settlements-with-sec-and-cftc 2021-06-15 0.5 6252 Blog Options Clearing Corporation Enters Into Settlements With SEC And CFTC Over Risk Management Policies<br > &nbsp; 9037 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/reargument-sought-on-whether-shareholders-can-be-victims-of-fcpa-violation 2021-06-15 0.5 6252 Blog Reargument Sought On Whether Shareholders Can Be Victims Of FCPA Violation For Purposes Of Criminal Restitution<br > &nbsp; 9054 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/doj-charges-three-traders-under-rico-in-alleged-spoofing-scheme 2021-06-15 0.5 6252 Blog DOJ Charges Three Traders Under RICO In Alleged Spoofing Scheme<br > &nbsp; 9074 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/doj-introduces-guidance-over-inability-to-pay-cla 2021-06-15 0.5 6252 Blog DOJ Introduces Guidance Over Inability-to-Pay Claims<br > &nbsp; 9173 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/cftc-settlement-in-kraft-unwound-due-to-ineffectu 2021-06-15 0.5 6252 Blog CFTC Settlement In <em >Kraft</em >&nbsp; Unwound Due To Ineffectuality Of Confidentiality Provisions, Setting Up Possible Key Legal Rulings On Market Manipulation<br > &nbsp; 9220 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/issuer-and-ceo-charged-by-the-sec-with-fraud-and- 2021-06-15 0.5 6252 Blog Issuer And CEO Charged By The SEC With Fraud And Whistleblower Protection Law Violations For Allegedly Impeding Investor Complaints<br > &nbsp; 9229 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/korean-engineering-company-fined-75-million-over- 2021-06-15 0.5 6252 Blog Korean Engineering Company Fined $75 Million Over Alleged Foreign Bribery Scheme In Brazil<br > &nbsp; 9315 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/assistant-attorney-general-brian-a-benczkowski-reviews 2021-06-15 0.5 6252 Blog Assistant Attorney General Brian A. Benczkowski Reviews FCPA Enforcement In 2019<br > &nbsp; 9328 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/second-circuit-reverses-185-million-restitution-order 2021-06-15 0.5 6252 Blog Second Circuit Reverses $18.5 Million Restitution Order For Lack Of Proximate Cause<br > &nbsp; 9329 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/doj-offers-non-prosecution-agreements-and-no-fines-for-self-reporting-export-control-and-sanctions 2021-06-15 0.5 6252 Blog DOJ Offers Non-Prosecution Agreements And No-Fines For Self-Reporting Export Control And Sanctions Violations<br > &nbsp; 9405 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/enforcement-overview-of-cases-of-particular-interest-currently- 2024-05-02 0.5 6252 Blog Overview Of Cases Of Particular Interest Currently Pending Before The Supreme Court Of The United State<br > &nbsp; 9422 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/judge-grants-post-trial-acquittal-on-fcpa-counts 2021-06-15 0.5 6252 Blog Judge Grants Post-Trial Acquittal On FCPA Counts<br > &nbsp; 9804 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-reaches-88-million-settlement-with-pharmaceutial-company 2021-06-15 0.5 6252 Blog SEC Reaches $8.8 Million Settlement With Pharmaceutical Company To Resolve Allegations Of FCPA Violations<br > &nbsp; 9814 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/united-states-supreme-court-hears-oral-arguments-in-liu 2021-06-15 0.5 6252 Blog United States Supreme Court Hears Oral Arguments In <em >Liu v. SEC</em > to Determine Whether the SEC Can Seek Disgorgement in Judicial Proceedings<br > &nbsp; 9818 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/co-directors-of-secrsquos-division-of-enforcement-issue 2021-06-15 0.5 6252 Blog Co-Directors Of SEC&rsquo;s Division Of Enforcement Issue Statement On Market Integrity In Wake Of COVID-19 Emergency<br > &nbsp; <div ></div > 9862 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/industrial-bank-settles-aml-charges-with-us-and-new-york-state-authorities 2021-06-15 0.5 6252 Blog Industrial Bank Settles AML Charges With U.S. And New York State Authorities<br > &nbsp; 9962 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/supreme-court-overturns-third-circuit-throws-out-bridgegate-convictions 2021-06-15 0.5 6252 Blog Supreme Court Overturns Third Circuit, Throws Out Bridgegate Convictions<br > &nbsp; 9990 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/cftc-announces-updated-guidance-on-civil-monetary-penalties 2021-06-15 0.5 6252 Blog CFTC Announces Updated Guidance On Civil Monetary Penalties<br > &nbsp; 10064 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/doj-revises-guidance-on-evaluation-of-corporate-compliance-programs 2021-06-15 0.5 6252 Blog DOJ Revises Guidance On Evaluation Of Corporate Compliance Programs<br > &nbsp; 10089 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/supreme-court-in-liu-upholds-sec-ability-to-seek-equitable-disgorgement 2021-06-15 0.5 6252 Blog Supreme Court In <em >Liu</em > Upholds SEC Ability To Seek Equitable Disgorgement Of Net Profits For Return To Victims, But Indicates Limits On Broader Disgorgement Theories<br > &nbsp; 10121 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/second-circuit-upholds-jury-conviction-of-two-officials-in-fifa 2021-06-15 0.5 6252 Blog Second Circuit Upholds Jury Conviction Of Two Officials In FIFA For Honest Services Fraud, Rejecting Extraterritoriality Challenge<br > &nbsp; 10139 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/global-healthcare-company-to-enter-dpa-pay-345-million-to-doj-and-sec 2021-06-15 0.5 6252 Blog Global Healthcare Company To Enter DPA, Pay $345 Million To DOJ And SEC, To Resolve FCPA Claims<br > &nbsp; 10140 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/pennsylvania-manufacturing-company-to-pay-824314-to-ofac 2021-06-15 0.5 6252 Blog Pennsylvania Manufacturing Company To Pay $824,314 To OFAC After Self-Appointing Two Monitors<br > &nbsp; 10275 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/cftc-sec-and-finra-settle-aml-related-charges-with-broker-dealer 2021-06-15 0.5 6252 Blog CFTC, SEC, And FINRA Settle AML-Related Charges With Broker-Dealer<br > &nbsp; 10281 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/doj-issues-fcpa-opinion-procedure-approving-legitimate-payments 2021-06-15 0.5 6252 Blog DOJ Issues FCPA Opinion Procedure Approving Legitimate Payments To Government Instrumentalities<br > &nbsp; 10294 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-amends-its-whistleblower-award-program-rules 2021-06-15 0.5 6252 Blog SEC Amends Its Whistleblower Award Program Rules<br > &nbsp; 10599 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/beverage-company-agrees-to-pay-196-million-and-enter-dpa-to-resolve-fcpa-charges 2021-06-15 0.5 6252 Blog Beverage Company Agrees To Pay $19.6 Million And Enter DPA To Resolve FCPA Charges With The DOJ, In Follow-Up To SEC Action That Had Starkly Different Tone<br > &nbsp; 10617 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/motion-to-dismiss-filed-in-eastern-district-of-new-york-case-could-provide-opportunity 2021-06-15 0.5 6252 Blog Motion To Dismiss Filed In Eastern District Of New York Case Could Provide Opportunity For Clarity On Scope Of FCPA&rsquo;s &ldquo;Internal Accounting Controls&rdquo; Provisions<br > &nbsp; 10657 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/energy-company-agrees-to-pay-over-150-million-to-doj-cftc-and-foreign-regulator 2021-06-15 0.5 6252 Blog Energy Company Agrees To Pay Over $150 Million To DOJ, CFTC, And Foreign Regulator To Resolve Coordinated FCPA Allegations<br > &nbsp; 10674 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/public-company-settles-with-sec-over-misleading-covid-19 2021-06-15 0.5 6252 Blog Public Company Settles with SEC Over Misleading COVID-19-Related Disclosures<br > &nbsp; 10675 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/broker-dealer-settles-sec-claims-alleging-violations 2021-06-15 0.5 6252 Blog Broker-Dealer Settles SEC Claims Alleging Violations Of The Duty Of Best Execution And Related Misstatements<br > &nbsp; 10698 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/national-defense-authorization-act-passed-over-president-trumps-veto-expands 2021-06-15 0.5 6252 Blog National Defense Authorization Act Passed Over President Trump&rsquo;s Veto Expands SEC&rsquo;s Disgorgement Authority And Reforms Anti-Money Laundering Laws<br > &nbsp; 10731 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/supreme-court-vacates-and-remands-blaszczak-insider-trading-decision 2021-06-15 0.5 6252 Blog <p >Supreme Court Vacates And Remands <em >Blaszczak</em > Insider Trading Decision, Providing Opportunity For Further Clarity By Second Circuit<br > <br > <span ><o ></o:p ></span ></p > 10776 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/ftc-secures-large-restitution-award-in-shadow-of-pending-amg-capital 2021-06-15 0.5 6252 Blog FTC Secures Large Restitution Award In Shadow Of Pending <em >AMG Capital</em ><br > &nbsp; 10815 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-invites-comment-on-possible-sec-staff-participation-in-undercover-fraud 2021-06-15 0.5 6252 Blog SEC Invites Comment On Possible SEC Staff Participation In Undercover Fraud-Detection Program<br > &nbsp; 10816 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/united-kingdom-supreme-court-limits-the-serious-fraud-offices-extra-territorial-reach 2021-06-15 0.5 6252 Blog United Kingdom Supreme Court Limits The Serious Fraud Office&rsquo;s Extra-Territorial Reach<br > &nbsp; 10843 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-reverses-position-on-accepting-settlement-offers-contingent 2021-06-15 0.5 6252 Blog SEC Reverses Position On Accepting Settlement Offers Contingent On Waivers, Creating Once Again Risk That Defendants Will Be Forced To Make Settlement Decisions With Significant Uncertainty<br > &nbsp; 10864 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-reauthorizes-senior-enforcement-officials-to-issue 2021-06-15 0.5 6252 Blog SEC Reauthorizes Senior Enforcement Officials To Issue Formal Investigation Orders<br > &nbsp; 10865 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/doj-and-sec-charge-biotech-consultant-with-insider-trading 2021-06-15 0.5 6252 Blog DOJ And SEC Charge Biotech Consultant With Insider Trading, But SEC Passes On Seeking Disgorgement<br > &nbsp; 10866 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/secs-2021-examination-priorities-reveal-few-suprises 2021-06-15 0.5 6252 Blog SEC&rsquo;s 2021 Examination Priorities Reveal Few Surprises<br > &nbsp; 10937 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-announces-new-enforcement-task-force-on-climate-and-esg 2021-06-15 0.5 6252 Blog SEC Announces New Enforcement Task Force On Climate And ESG<br > &nbsp; 10938 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/secrsquos-whistleblowing-statistics-continue-to-set-records-through-pandemic 2024-05-02 0.5 6252 Blog SEC&rsquo;s Whistleblowing Statistics Continue To Set Records Through Pandemic<br > &nbsp; 10981 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-commissioner-calls-for-revisiting-approach-to-corporate-penalties 2021-06-15 0.5 6252 Blog SEC Commissioner Calls For Revisiting Approach To Corporate Penalties<br > &nbsp; 10999 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-announces-second-largest-whistleblower-award- 2024-05-02 0.5 6252 Blog SEC Announces Second-Largest Whistleblower Award In Program&rsquo;s History<br > &nbsp; 11047 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/supreme-court-rolls-back-ftcrsquos-ability-to-obtain-restitution 2021-06-15 0.5 6252 Blog Supreme Court Rolls Back FTC&rsquo;s Ability To Obtain Restitution And Disgorgement<br > &nbsp; 11063 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/uk-court-orders-aerospace-corporation-subsidiary-to-pay 2021-06-15 0.5 6252 Blog UK Court Orders Aerospace Corporation Subsidiary To Pay &pound;30 Million In Saudi Corruption Case<br > &nbsp; 11075 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/supreme-court-resolves-circuit-split-on-meaning-of-exceeding-authorized-access 2021-06-15 0.5 6252 Blog Supreme Court Resolves Circuit Split On Meaning Of &ldquo;Exceeding Authorized Access&rdquo; In The Computer Fraud And Abuse Act<br > &nbsp; 11184 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/finra-orders-record-70-million-financial-penalty-for-systemic-supervisory-failures 2021-07-06 0.5 6252 Blog FINRA Orders Record $70 Million Financial Penalty For Systemic Supervisory Failures<br > &nbsp; 11250 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-announces-settled-enforcement-action-in-connection-with-spac-business 2021-07-19 0.5 6252 Blog SEC Announces Settled Enforcement Action In Connection With SPAC Business Combination<br > &nbsp; 11271 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/financial-institution-settles-sec-claims-related-to-allegedly-unsuitable-investments 2021-07-28 0.5 6252 Blog Financial Institution Settles SEC Claims Related To Allegedly Unsuitable Investments In Complex Exchange-Traded Product<br > &nbsp; 11287 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/doj-and-sec-file-securities-fraud-charges-against-founder-of-company-acquired 2021-08-04 0.5 6252 Blog DOJ And SEC File Securities Fraud Charges Against Founder Of Company Acquired By A SPAC<br > &nbsp; 11296 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/cryptocurrency-derivatives-exchange-reaches-100m-settlement-with-cftc-fincen 2021-08-19 0.5 6252 Blog <span >Cryptocurrency Derivatives Exchange Reaches $100 Million Settlement With CFTC, FinCEN</span ><br > &nbsp; 11313 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-settles-first-of-its-kind-action-over-decentralized-finance-technology 2021-08-19 0.5 6252 Blog SEC Settles &ldquo;First-Of-Its-Kind&rdquo; Action Over &ldquo;Decentralized Finance&rdquo; Technology, Alleging Fraud And Unregistered Sales Of Securities<br > &nbsp; 11314 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-brings-insider-trading-charges-based-on-novel-theory 2021-08-25 0.5 6252 Blog SEC Brings Insider Trading Charges Based On Novel Theory<br > &nbsp; 11319 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-vacates-1-6-million-in-finra-fines-against-broker-dealer-and-officers 2021-09-28 0.5 6252 Blog SEC Vacates $1.6 Million In FINRA Fines Against Broker-Dealer And Officers<br > &nbsp; 11357 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/cftc-fines-crypto-exchange-that-offered-margin-trading-for-failing-to-register-as-fcm 2021-10-05 0.5 6252 Blog CFTC Fines Crypto Exchange That Offered Margin Trading For Failing To Register As FCM, Prompting Calls For Further Rulemaking From One Commissioner<br > &nbsp; 11369 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/department-of-justice-announces-enhanced-efforts-towards-white-collar-crime-enforcement 2021-10-12 0.5 6252 Blog Department Of Justice Announces Enhanced Efforts Towards White-Collar Crime Enforcement And Creation Of National Cryptocurrency Enforcement Team<br > &nbsp; 11377 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/comments-at-sec-speaks-conference-suggest-heightened-bar-for-cooperation-credit 2021-10-18 0.5 6252 Blog Comments At SEC Speaks Conference Suggest Heightened Bar For Cooperation Credit, Return Of Admissions Policy, And Increased Autonomy For Front-Line SEC Enforcement Staff<br > &nbsp; 11382 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/new-york-ag-demands-crypto-platforms-cease-operations 2021-10-25 0.5 6252 Blog New York AG Demands Crypto Platforms Cease Operations<br > &nbsp; 11387 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/cftc-awards-record-200-million-to-whistleblower 2021-10-25 0.5 6252 Blog CFTC Awards Record $200 Million To Whistleblower<br > &nbsp; 11388 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/doj-announces-major-policy-changes-to-how-it-investigates-and-prosecutes-corporate-crime 2021-11-02 0.5 6252 Blog DOJ Announces Major Policy Changes To How It Investigates And Prosecutes Corporate Crime, Signaling A Return To Tougher Enforcement And Individual Accountability<br > &nbsp; 11402 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/consulting-firm-settles-allegations-that-it-had-inadequate-procedures 2021-11-24 0.5 6252 Blog Consulting Firm Settles Allegations That It Had Inadequate Procedures For Handling Of MNPI Between Units<br > &nbsp; 11447 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-enforcement-in-fy-2021-included-significant-actions-in-traditional-and-emerging 2021-11-24 0.5 6252 Blog SEC Enforcement In FY 2021 Included Significant Actions In Traditional And Emerging Areas And Over $1 Billion In Whistleblower Awards<br > &nbsp; 11448 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-and-cftc-bring-200-million-settled-action-against-financial-institution-for-alleged 2021-12-20 0.5 6252 Blog SEC And CFTC Bring $200 Million Settled Action Against Financial Institution For Alleged Violations Of Record-Keeping Requirements Due To Employee Off-Platform Communications Including WhatsApp And Text Messages<br > &nbsp; 11486 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/federal-court-dismisses-sec-insider-trading-case-holding-that-suspicious-trading 2021-12-20 0.5 6252 Blog Federal Court Dismisses SEC Insider Trading Case, Holding That Suspicious Trading Plus Evidence Of Relationship And Communications With Insider Are Insufficient Basis To Get To A Jury<br > &nbsp; 11487 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/company-acquired-by-spac-agrees-to-pay-125-million-to-settle-sec-probe 2022-01-10 0.5 6252 Blog Company Acquired By SPAC Agrees To Pay $125 Million To Settle SEC Probe Months After CEO Was Charged With Fraud<br > &nbsp; 11503 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/california-district-court-allows-novel-sec-insider-trading-theory-to-proceed 2022-01-18 0.5 6252 Blog California District Court Allows Novel SEC Insider Trading Theory To Proceed<br > &nbsp; 11517 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/second-circuit-reverses-conviction-of-two-traders-accused-of-libor-rigging-scheme 2022-01-31 0.5 6252 Blog Second Circuit Reverses Conviction Of Two Traders Accused Of LIBOR Rigging Scheme, Finding Insufficient Evidence Of False Or Fraudulent Statements<br > &nbsp; 11566 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/cryptocurrency-company-fined-100m-in-novel-action-concerning-registration 2022-02-23 0.5 6252 Blog Cryptocurrency Company Fined $100M In Novel Action Concerning Registration Obligations For Crypto Lending Product<br > &nbsp; 11678 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-announces-settled-insider-trading-action-against-former-director 2022-02-28 0.5 6252 Blog SEC Announces Settled Insider Trading Action Against Former Director Of Investor Relations<br > &nbsp; 11702 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sweeping-new-sanctions-us-eu-uk-and-other-countries-target-russia-for-ukraine-invasion 2022-02-28 0.5 6252 Blog Sweeping New Sanctions: US, EU, UK And Other Countries Target Russia For Ukraine Invasion<br > &nbsp; 11706 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/us-attorney-general-announces-task-force-to-target-russian-sanctions 2022-03-07 0.5 6252 Blog U.S. Attorney General Announces Task Force To Target Russian Sanctions And Additional Resources For White Collar Enforcement<br > &nbsp; 11709 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/finra-issues-regulatory-notice-on-the-scope-of-supervisor-liability 2022-03-22 0.5 6252 Blog FINRA Issues Regulatory Notice On The Scope Of Supervisor Liability For Chief Compliance Officers<br > &nbsp; 11734 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-proposes-new-spac-disclosure-rules 2022-04-04 0.5 6252 Blog SEC Proposes New SPAC Disclosure Rules<br > &nbsp; 11748 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-commissioner-dissent-highlights-challenges-in-responding-to-whistleblowers 2022-04-18 0.5 6252 Blog SEC Commissioner&rsquo;s Dissent Highlights Challenges In Responding To Whistleblowers<br > &nbsp; 11771 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-announces-settled-enforcement-action-alleging-management-of-earnings-figures 2022-04-26 0.5 6252 Blog SEC Announces Settled Enforcement Action Alleging Management Of Earnings Figures To Meet Analyst Estimates<br > &nbsp; 11782 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/occ-issues-consent-order-against-a-digital-bank 2022-05-03 0.5 6252 Blog OCC Issues Consent Order Against A Digital Bank<br > &nbsp; 11802 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/jury-rejects-sec-fraud-claims-against-trader-accused-of-misstatements-over-pricing 2022-05-16 0.5 6252 Blog Jury Rejects SEC Fraud Claims Against Trader Accused Of Misstatements Over Pricing Commercial RMBS<br > &nbsp; 11826 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/us-investment-firm-enters-6-billion-parallel-resolutions-with-doj-and-sec 2022-05-23 0.5 6252 Blog U.S. Investment Firm Enters $6 Billion Parallel Resolutions With DOJ And SEC Over Allegations Of Fraudulent Conduct By Employees And Related Control Failures<br > &nbsp; 11851 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/fifth-circuit-holds-sec-administrative-proceedings-are-unconstitutional 2022-05-23 0.5 6252 Blog Fifth Circuit Holds SEC Administrative Proceedings Are Unconstitutional<br > &nbsp; 11852 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-esg-fines-investment-adviser-for-alleged-esg-misstatements-in-esg-task-force 2022-06-02 0.5 6252 Blog SEC ESG Fines Investment Adviser For Alleged ESG Misstatements In ESG Task Force&rsquo;s First Enforcement Resolution<br > &nbsp; 11861 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/glencore-pleads-guilty-and-agrees-to-1-billion-penalty-to-resolve-manipulation 2022-06-02 0.5 6252 Blog Glencore Pleads Guilty And Agrees To $1.1 Billion Penalty To Resolve Manipulation And Foreign Corruption Allegations<br > &nbsp; 11862 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-brings-action-against-investment-advisers-for-allegedly-misleading-robo-adviser-clients 2022-06-23 0.5 6252 Blog SEC Brings Action Against Investment Advisers For Allegedly Misleading Robo-Adviser Clients About Hidden Fees<br > &nbsp; 11901 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-brings-its-first-regulation-best-interest-enforcement-action 2022-06-23 0.5 6252 Blog SEC Brings Its First Regulation Best Interest Enforcement Action<br > &nbsp; 11902 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/finra-fines-broker-dealer-9-million-for-allegedly-attempting-to-influence 2022-07-05 0.5 6252 Blog FINRA Fines Broker-Dealer $9 Million For Allegedly Attempting To Influence The Market For Offered Securities<br > &nbsp; 11919 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/second-circuit-rejects-sec-request-to-revisit-holding-that-scheme-liability-requires-conduct 2022-07-27 0.5 6252 Blog Second Circuit Rejects SEC Request To Revisit Holding That &ldquo;Scheme Liability&rdquo; Requires Conduct Beyond Misstatements And Omissions<br > &nbsp; 11945 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-and-doj-bring-first-ever-charges-for-cryptocurrency-insider-trading-tipping-scheme 2022-07-27 0.5 6252 Blog SEC And DOJ Bring First Ever Charges For Cryptocurrency Insider Trading Tipping Scheme<br > &nbsp; 11946 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/new-york-fines-crypto-trading-platform-30m-in-first-ever-dfs-crypto-settlement 2022-08-15 0.5 6252 Blog New York Fines Crypto Trading Platform $30M In First-Ever DFS Crypto Settlement<br > &nbsp; 11967 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/second-circuit-overturns-1-million-whistleblower-award-for-improper-jury-instruction 2022-08-15 0.5 6252 Blog Second Circuit Overturns $1 Million Whistleblower Award For Improper Jury Instruction<br > &nbsp; 11968 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-brings-enforcement-action-against-investment-advisor-for-allegedly-failing-to-disclose-conflicts 2022-09-15 0.5 6252 Blog SEC Brings Enforcement Action Against Investment Advisor For Allegedly Failing To Disclose Conflicts Of Interest In SPACs Into Which It Invested Client Funds<br > &nbsp; 12011 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-brings-actions-against-underwriters-in-first-ever-municipal-bond-disclosure-cases 2022-09-29 0.5 6252 Blog SEC Brings Actions Against Underwriters In First-Ever Municipal Bond Disclosure Cases<br > &nbsp; 12016 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/the-doj-reinforces-and-updates-corporate-criminal-enforcement-priorities-with-speech 2022-09-29 0.5 6252 Blog The DOJ Reinforces And Updates Corporate Criminal Enforcement Priorities With Speech By Deputy Attorney General Lisa O. Monaco<br > &nbsp; 12017 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-and-cftc-orders-concerning-electronic-communications 2022-10-11 0.5 6252 Blog SEC And CFTC Orders Concerning Electronic Communications<br > &nbsp; 12025 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/cftc-releases-its-annual-enforcement-results 2022-10-31 0.5 6252 Blog CFTC Releases Its Annual Enforcement Results<br > &nbsp; 12045 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-announces-year-end-enforcement-results-emphasizing-record-setting-penalty-awards 2022-11-21 0.5 6252 Blog SEC Announces Year-End Enforcement Results, Emphasizing Record-Setting Penalty Awards<br > &nbsp; 12074 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/doj-and-sec-extend-fcpa-monitorship-for-telecom-company 2022-12-19 0.5 6252 Blog DOJ And SEC Extend FCPA Monitorship For Telecom Company<br > &nbsp; 12102 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/doj-announces-revisions-to-the-criminal-divisions-corporate-enforcement-policy 2023-02-02 0.5 6252 Blog DOJ Announces Revisions To The Criminal Division&rsquo;s Corporate Enforcement Policy<br > &nbsp; 12130 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-brings-enforcement-action-over-companys-alleged-failure-to-track-information 2023-02-13 0.5 6252 Blog SEC Brings Enforcement Action Over Company&rsquo;s Alleged Failure To Track Information About Workplace Misconduct Relevant To Risk Factor Disclosures About Employee Retention<br > &nbsp; 12152 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/united-states-department-of-justice-issues-voluntary-self-disclosure-policy-pursuant-to-deputy 2023-02-27 0.5 6252 Blog United States Department Of Justice Issues Voluntary Self-Disclosure Policy Pursuant To Deputy Attorney General&rsquo;s September 15, 2022, Memorandum<br > &nbsp; 12167 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-charged-mcdonalds-for-public-disclosure-violations-related-to-the-board-exercise-of 2023-02-27 0.5 6252 Blog SEC Charged McDonald&rsquo;s For Public Disclosure Violations Related To The Board&rsquo;s Exercise Of Discretion Respecting The Former CEO&rsquo;s Termination And Charged The Former CEO For Fraud<br > &nbsp; 12168 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sterling-bancorp-pleads-guilty-to-criminal-securities-fraud 2023-03-23 0.5 6252 Blog Sterling Bancorp Pleads Guilty To Criminal Securities Fraud<br > &nbsp; 12189 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/doj-and-sec-charge-individual-for-insider-trading-through-use-of-10b5-1-trading-plans 2023-03-23 0.5 6252 Blog DOJ And SEC Charge Individual For Insider Trading Through Use Of 10b5-1 Trading Plans<br > &nbsp; 12190 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/telecommunications-company-agrees-to-plead-guilty-following-alleged-breach-of-2019 2023-03-23 0.5 6252 Blog Telecommunications Company Agrees To Plead Guilty Following Alleged Breach Of 2019 Deferred Prosecution Agreement<br > &nbsp; 12191 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/brazilian-mining-company-to-pay-55-million-to-settle-sec-charges-of-misleading-esg 2023-04-17 0.5 6252 Blog Brazilian Mining Company To Pay $55.9 Million To Settle SEC Charges Of Misleading ESG Disclosures<br > &nbsp; 12217 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/cftc-charges-digital-asset-exchange-and-its-founder-with-violating-commodity-exchange-act 2023-04-17 0.5 6252 Blog CFTC Charges Digital Asset Exchange And Its Founder With Violating The Commodity Exchange Act And Commission Regulations<br > &nbsp; 12218 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/supreme-court-holds-that-structural-challenges-to-agency-administrative-proceedings 2023-04-17 0.5 6252 Blog Supreme Court Holds That Structural Challenges To Agency Administrative Proceedings May Be Brought Directly In Federal Court<br > &nbsp; 12219 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/supreme-court-to-review-second-circuit-decision-on-whistleblower-retaliation 2023-05-08 0.5 6252 Blog Supreme Court To Review Second Circuit Decision On Whistleblower Retaliation<br > &nbsp; 12249 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/dutch-company-settles-alleged-fcpa-violations-with-sec-for-62m 2023-05-31 0.5 6252 Blog Dutch Company Settles Alleged FCPA Violations With SEC For $62M<br > &nbsp; 12269 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/supreme-court-and-first-circuit-issue-decisions-reversing-white-collar-convictions 2023-05-31 0.5 6252 Blog Supreme Court And First Circuit Issue Decisions Reversing White Collar Convictions, Cautioning Against Prosecutorial Overreach In Honest Services Fraud Cases<br > &nbsp; 12270 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/supreme-court-clarifies-scienter-standard-for-false-claims-act-liability 2023-06-05 0.5 6252 Blog Supreme Court Clarifies Scienter Standard For False Claims Act Liability<br > &nbsp; 12282 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/investment-adviser-fined-1-point-4-million-for-failure-to-disclose-spac-conflicts 2023-06-13 0.5 6252 Blog Investment Adviser Fined $1.4 Million For Failure To Disclose SPAC Conflicts<br > &nbsp; 12285 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/fcpa-charges-dismissed-due-to-doj-unduly-delayed-prosecution 2023-06-13 0.5 6252 Blog FCPA Charges Dismissed Due To DOJ&rsquo;s Unduly Delayed Prosecution<br > &nbsp; 12286 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/united-states-supreme-court-to-hear-appeal-on-sec-power-to-initiate-administrative-proceedings 2023-07-05 0.5 6252 Blog United States Supreme Court To Hear Appeal On SEC Power To Initiate Administrative Proceedings<br > &nbsp; 12308 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/dc-circuit-enjoins-finra-disciplinary-proceeding-questions-constitutionality 2023-07-10 0.5 6252 Blog DC Circuit Enjoins FINRA Disciplinary Proceeding, Questions Constitutionality Of Hearing Officers<br > &nbsp; 12315 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/new-york-district-court-decides-significant-cryptocurrency-case 2023-07-31 0.5 6252 Blog New York District Court Decides Significant Cryptocurrency Case, Holding That Whether Cryptocurrency Is A Security Turns On When And How It Was Sold<br > &nbsp; 12335 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/in-denying-motion-to-dismiss-in-terraform-cryptocurrency-case-ny-federal-judge-rejects 2023-08-07 0.5 6252 Blog In Denying Motion To Dismiss In Terraform Cryptocurrency Case, New York Federal Judge Rejects Key Aspects Of <em >Ripple</em >&nbsp; Ruling, Continuing Uncertainty On How Securities Law Applies To Cryptocurrencies 12363 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/corficolombiana-pays-80-million-to-resolve-bribery-probes 2023-08-15 0.5 6252 Blog Corficolombiana Pays $80M To Resolve Bribery Probes<br > &nbsp; 12376 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-fines-international-conglomerate-6-point-5-million-for-fcpa-violations-related-to-client-travel 2023-09-06 0.5 6252 Blog SEC Fines International Conglomerate $6.5 Million For FCPA Violations Related To Client Travel And Hospitality Expenses<br > &nbsp; 12391 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-announces-results-of-recent-enforcement-sweep-focused-on-insider-ownership 2023-10-10 0.5 6252 Blog SEC Announces Results Of Recent Enforcement Sweep Focused On Insider Ownership Reporting Failures<br > &nbsp; 13409 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/justice-department-announces-new-corporate-enforcement-appointments-in-national-security-division 2023-10-09 0.5 6252 Blog Justice Department Announces New Corporate Enforcement Appointments In National Security Division<br > &nbsp; 13410 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/nine-investment-firms-fined-by-the-sec-for-marketing-rule-violations 2023-10-10 0.5 6252 Blog Nine Investment Firms Fined By The SEC For Marketing Rule Violations<br > &nbsp; 13411 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-sues-company-for-unregistered-offerings-of-nfts 2023-10-10 0.5 6252 Blog SEC Sues Company For Unregistered Offerings Of NFTs<br > &nbsp; 13412 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/doj-announces-safe-harbor-for-companies-that-self-disclose-misconduct-discovered 2023-10-09 0.5 6252 Blog DOJ Announces Safe Harbor For Companies That Self-Disclose Misconduct Discovered During M&amp;A<br > &nbsp; 13421 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/cftc-issues-advisory-guidelines-on-civil-penalties-monitors-and-admissions 2023-10-31 0.5 6252 Blog CFTC Issues Advisory Guidelines On Civil Penalties, Monitors And Admissions<br > &nbsp; 13441 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-brings-groundbreaking-claims-against-company-for-fraud-relating-to-data-breach 2023-11-06 0.5 6252 Blog SEC Brings Groundbreaking Claims Against Company For Fraud Relating To Data Breach<br > &nbsp; 13454 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-announces-25-million-enforcement-action-over-company-use-of-stock-buyback-plans 2023-11-20 0.5 6252 Blog SEC Announces $25 Million Enforcement Action Over Company&rsquo;s Use Of Stock Buyback Plans That SEC Alleged Failed To Comply With Rule 10b5-1 13465 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/historic-penalties-for-cryptocurrency-exchange-aml-related-violations 2023-12-13 0.5 6252 Blog Historic Penalties For Cryptocurrency Exchange&rsquo;s AML-Related Violations<br > &nbsp; 13490 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/supreme-court-rules-whistleblowers-need-not-prove-retaliatory-intent 2024-02-12 0.5 6252 Blog Supreme Court Rules Whistleblowers Need Not Prove Retaliatory Intent Under SOX<br > &nbsp; 13583 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/doj-announces-plan-to-pay-corporate-whistleblower 2024-03-25 0.5 6252 Blog DOJ Announces Plan To Pay Corporate Whistleblowers 13614 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/new-york-attorney-general-sues-beef-processing 2024-03-26 0.5 6252 Blog New York Attorney General Sues Beef Processing Company In &ldquo;Greenwashing&rdquo; Complaint Alleging The Company Publicized Unrealistic &ldquo;Net Zero&rdquo; Goals For Itself To Deceptively Promote Its Products And Company As Environmentally Friendly 13615 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-v-panuwat-emndash-northern-district 2024-05-02 0.5 6252 Blog <em >SEC v. Panuwat </em >&ndash; Northern District Of California Jury Endorses SEC&rsquo;s &ldquo;Shadow Trading&rdquo; Theory 13666 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-achieves-jury-verdict-in-cryptocurrency 2024-05-02 0.5 6252 Blog SEC Achieves Jury Verdict In Cryptocurrency Fraud Case 13667 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/cftc-resolves-first-action-for-impeding-whistleblower 2024-06-25 0.5 6252 Blog CFTC Resolves First Action for Impeding Whistleblowers Over Objections of Two Commissioners 13768 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/united-states-supreme-court-holds-that-federal-bribery-statute-does-not-criminalize-gratuities 2024-07-18 0.5 6252 Blog United States Supreme Court Holds That Federal Bribery Statute Does Not Criminalize Gratuities In An Opinion Again Focusing On Importance Of Clear Lines In Criminal Statutes 13822 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/united-states-supreme-court-holds-that-the-sec-cannot-pursue-civil-fraud-penalties 2024-07-18 0.5 6252 Blog United States Supreme Court Holds That The SEC Cannot Pursue Civil Fraud Penalties In Administrative Proceedings, Potentially Altering How Many Agencies Will Be Forced To Pursue Certain Rule Violations 13823 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/judge-dismisses-most-of-secs-suit-against 2024-07-22 0.5 6252 Blog Judge Dismisses Most Of SEC&rsquo;s Suit Against An IT Management Software Company Over Cybersecurity Disclosures 13848 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/finra-faces-post-jarkesy-challenge 2024-07-22 0.5 6252 Blog FINRA Faces Post- <em >Jarkesy</em > Challenge To Its Enforcement Program 13849 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/doj-kicks-off-whistleblower-rewards-program 2024-08-05 0.5 6252 Blog DOJ Kicks Off Whistleblower Rewards Program&nbsp; 13898 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/new-york-federal-judge-orders-125-million-penalty 2024-08-12 0.5 6252 Blog <strong >New York Federal Judge Orders $125 Million Penalty Against Digital Asset Infrastructure Company</strong > 13908 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/finra-beats-first-post-jarkesy-challenge 2024-09-18 0.5 6252 Blog <p >FINRA Beats First Post-<em >Jarkesy</em > Challenge</p > 13951 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/cftc-reaches-48-million-settlement-with-swiss 2024-09-17 0.5 6252 Blog CFTC Reaches $48 Million Settlement With Swiss Energy Trader Over Attempted Gasoline Market Manipulation Scheme 13952 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/looking-back-and-moving-forward-2023-fcpa-enforcement-trends-and-patterns 2024-09-17 0.5 6252 Blog Looking Back And Moving Forward &ndash; 2023 FCPA Enforcement Trends And Patterns 13953 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-reaches-three-separate-resolutions 2024-09-30 0.5 6252 Blog SEC Reaches Three Separate Resolutions In Continued Focus On Whistleblowers And Rule 21F-17(a) 13984 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-charges-company-with-reg-fd-violations 2024-09-30 0.5 6252 Blog SEC Charges Company With Reg FD Violations For Disclosing Information Via Posts On CEO&rsquo;s Social Media Accounts 13985 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/the-sec-files-settled-complaint-against-a-public 2024-10-07 0.5 6252 Blog The SEC Files Settled Complaint Against A Public Company Director For Allegedly Hiding Close Friendship With Company Executive To Be Deemed Independent 14004 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/crypto-exchange-challenges-secrsquos-jurisdiction 2024-10-15 0.5 6252 Blog Crypto Exchange Challenges SEC&rsquo;s Jurisdiction Over Sale Of Digital Assets 14020 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/florida-district-court-holds-fca-s-qui-tam-provision-unconstitutional 2024-10-15 0.5 6252 Blog Florida District Court Holds FCA&rsquo;s <em >Qui Tam</em > Provision Unconstitutional 14021 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/securities-and-exchange-commission-alleges-that-c 2024-10-21 0.5 6252 Blog Securities And Exchange Commission Alleges That Crypto Trading Firm Sold Unregistered Securities 14035 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/the-commodity-futures-trading-commission-files 2024-10-21 0.5 6252 Blog The Commodity Futures Trading Commission Files Its First Actions For Fraud In The Voluntary Carbon Credit Market&nbsp; 14037 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/undeterred-by-recent-court-loss-sec-charges 2024-10-28 0.5 6252 Blog Undeterred By Recent Court Loss, SEC Charges Four Companies With Inadequate Cyber Disclosures In The Aftermath Of SolarWinds Breach 14058 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/cftc-awards-4-million-to-whistleblowers 2024-11-18 0.5 6252 Blog <p >CFTC Awards $4&nbsp;Million To Whistleblowers, Citing Disclosure Timing</p > 14124 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/dc-circuit-grants-preliminary-injunction 2024-12-10 0.5 6252 Blog DC Circuit Grants Preliminary Injunction Preventing FINRA From Expelling Member Without SEC Review, Finding Private Nondelegation Doctrine Likely To Apply 14194 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/fifth-circuit-limits-ofac-authority-over-certain-cryptocurrency-products 2024-12-10 0.5 6252 Blog Fifth Circuit Limits OFAC Authority Over Certain Cryptocurrency Products 14195 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/consulting-firm-agrees-to-pay-650-million 2024-12-16 0.5 6252 Blog Consulting Firm Agrees To Pay $650 Million In A Deferred Prosecution Agreement To Avoid Opioid Misbranding Conspiracy Charges 14214 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/cftc-issues-advisory-guidance-for-anticipated-growth 2024-12-16 0.5 6252 Blog CFTC Issues Advisory Guidance For Anticipated Growth In Use Of Artificial Intelligence By Regulated Entities 14215 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/fifth-circuit-vacates-sec-order-approving-nasdaq-board-diversity-proposal 2024-12-23 0.5 6252 Blog Fifth Circuit Vacates SEC Order Approving Nasdaq&rsquo;s Board Diversity Proposal 14239 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-files-complaint-alleging-hedge-fund-manager-failed-to-maintain-mnpi-policies 2024-12-23 0.5 6252 Blog SEC Files Complaint Alleging Hedge Fund Manager Failed To Maintain And Enforce Adequate MNPI Policies And Procedures To Separate Public And Private Side Employees 14240 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/energy-company-settles-long-running-dispute-with- 2025-01-21 0.5 6252 Blog Energy Company Settles Long-Running Dispute With FERC After <em >Jarkesy</em > Decision Undercuts FERC&rsquo;s Enforcement Authority 14289 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-enters-into-off-channel-settlements-with-twelve-additional-firms 2025-01-21 0.5 6252 Blog SEC Enters Into Off-Channel Settlements With Twelve Additional Firms Prior To Leadership Turnover 16292 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-announces-settlement-with-investment-advisory-firm 2025-01-21 0.5 6252 Blog SEC Announces Settlement With Investment Advisory Firm For Allegedly Breaching Fiduciary Duties And Violating Whistleblower Protection Rule 16293 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/major-crypto-exchange-pleads-guilty-agrees-to-usd297-million-penalty 2025-02-04 0.5 6252 Blog Major Crypto Exchange Pleads Guilty, Agrees To $297 Million Penalty; Founders Secure DPAs 16330 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/federal-departments-and-regulatory-agencies-move-to-reorganize-structure-and-policy 2025-02-10 0.5 6252 Blog Federal Departments And Regulatory Agencies Move Quickly To Reorganize Structure And Policy Goals Following Introduction Of New Administration 16354 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/us-attorney-for-the-district-of-new-jersey-reverses-course-in-bribery-case 2025-03-10 0.5 6252 Blog US Attorney For The District of New Jersey Reverses Course And Requests Adjournment For Foreign Bribery Case Against Tech Executives On Eve of Trial 16442 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/cryptocurrency-exchange-pleads-guilty-to-violating-anti-money-laundering-laws 2025-03-10 0.5 6252 Blog Cryptocurrency Exchange Pleads Guilty To Violating Anti-Money Laundering Laws, Agrees To Pay More Than $500 Million In Penalties And Forfeiture 16443 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-declares-meme-coins-are-not-securities 2025-03-10 0.5 6252 Blog SEC Declares Meme Coins Are Not &ldquo;Securities&rdquo; In New Statement 16444 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/first-circuit-ruling-requiring-but-for-causation 2025-03-10 0.5 6252 Blog First Circuit Ruling Requiring &ldquo;But-For&rdquo; Causation In FCA Kickback Claims Deepens Circuit Split 16445 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/doj-announces-settlement-where-medical-group-and-related-parties-will-pay-over-usd62m 2025-03-31 0.5 6252 Blog DOJ Announces Settlement Where Medical Group And Related Parties Will Pay Over $62M To Resolve False Claims Act Suit 16526 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-charges-three-arizona-individuals-with-fraudulent-municipal-bond-offering 2025-04-07 0.5 6252 Blog SEC Charges Three Arizona Individuals With Fraudulent Municipal Bond Offering 16547 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/criminal-case-against-former-executives-of-technology-company-dismissed 2025-04-07 0.5 6252 Blog Criminal Case Against Former Executives Of Technology Company Dismissed 16548 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/heightened-surveillance-and-regulatory-requirements-for-virtual-currency-derivatives-exchanges 2025-04-07 0.5 6252 Blog Heightened Surveillance And Regulatory Requirements For Virtual Currency Derivatives Exchanges Withdrawn 16552 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-charges-founder-and-associates-with-fraud-in-ponzi-like-crypto-investment-scheme 2025-04-29 0.5 6252 Blog SEC Charges Founder &amp; Associates With Fraud For Allegedly Running A Nearly $200M Ponzi-like Crypto Investment Scheme 16626 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/defense-contractors-to-pay-84-million 2025-05-12 0.5 6252 Blog Defense Contractors To Pay $8.4 Million To Resolve False Claims Act Allegations Surrounding Non-Compliance With Cybersecurity Requirements 16671 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/doj-announces-substantial-strategic-shifts-in-white-collar-crime-enforcement 2025-05-19 0.5 6252 Blog DOJ Announces Substantial Strategic Shifts In White-Collar Crime Enforcement 16706 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/cftc-releases-guidance-on-registered-non-us-swap-entities 2025-05-27 0.5 6252 Blog CFTC Releases Guidance On Registered Non-U.S. Swap Entities Using Substituted Compliance 16722 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/doj-announces-civil-rights-fraud-initiative-targeting-federal-fund-recipients-use-of-dei 2025-05-27 0.5 6252 Blog DOJ Announces Civil Rights Fraud Initiative Targeting Federal Fund Recipients&rsquo; Use Of DEI 16723 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/doj-releases-new-fcpa-enforcement-guidelines 2025-06-16 0.5 6252 Blog DOJ Releases New FCPA Enforcement Guidelines 16785 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/supreme-court-endorses-fraudulent-inducement-theory-under-federal-wire-fraud-statute 2025-06-16 0.5 6252 Blog Supreme Court Decision Endorses Fraudulent-Inducement Theory Under Federal Wire Fraud Statute, Resolving Circuit Split And Confirming Broad Reading Of Statute 16786 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/supreme-court-declines-to-hear-constitutional-challenge-to-finra-enforcement-powers 2025-06-16 0.5 6252 Blog Supreme Court Declines To Hear Constitutional Challenge To FINRA&rsquo;s Enforcement Powers 16787 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/doj-issues-first-ever-declination-for-sanctions-violations 2025-07-01 0.5 6252 Blog DOJ Issues First-Ever Declination For Sanctions Violations Since Creation Of The M&amp;A Safe Harbor Policy 16840 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/new-doj-usps-whistleblower-rewards-program-for-antitrust-tips 2025-07-14 0.5 6252 Blog New DOJ-USPS Whistleblower Rewards Program For Antitrust Tips 16901 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/pharma-co-brings-latest-constitutional-challenge-to-false-claims-act 2025-07-28 0.5 6252 Blog Pharma Company Brings Latest Constitutional Challenge To False Claims Act In Third Circuit 16992 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/second-circuit-vacates-wire-fraud-conviction-for-insider-trading-on-nfts 2025-08-04 0.5 6252 Blog Second Circuit Vacates Wire Fraud Conviction For &ldquo;Insider Trading&rdquo; On NFTs 17034 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-appoints-judge-margaret-ryan-new-director-of-the-division-of-enforcement 2025-08-25 0.5 6252 Blog SEC Appoints Judge Margaret &ldquo;Meg&rdquo; Ryan As The New Director Of The Division Of Enforcement 17094 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/first-doj-declination-for-fcpa-violations-since-renewed-enforcement-guidelines 2025-08-25 0.5 6252 Blog First DOJ Declination For FCPA Violations Since Renewed Enforcement Guidelines 17095 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-launches-cross-border-fraud-task-force-focusing-on-china 2025-09-15 0.5 6252 Blog SEC Launches Cross-Border Fraud Task Force, Signaling An Initial Focus On China 17137 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/cftc-sole-democratic-commissioner-kristin-johnson-to-leave-the-commission 2025-09-15 0.5 6252 Blog CFTC Sole Democratic Commissioner Kristin Johnson To Leave The Commission 17138 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-restores-practice-of-considering-settlement-offers 2025-09-29 0.5 6252 Blog SEC Restores Practice Of Considering Settlement Offers Conditioned On The Issuance Of Collateral Consequence Waivers 17191 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sixth-circuit-reaffirms-robust-privilege-and-work-product-protection 2025-10-14 0.5 6252 Blog Sixth Circuit Reaffirms Robust Privilege And Work-Product Protection For Internal Investigations In FirstEnergy Mandamus Ruling 17216 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/fifth-circuit-judge-renews-scrutiny-of-fcas-qui-tam-constitutionality 2025-11-10 0.5 6252 Blog Fifth Circuit Judge Renews Scrutiny Of FCA&rsquo;s Qui Tam Constitutionality 17343 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/finra-fines-brokerage-firm-10m-for-lavish-gifts-and-entertainment 2025-11-10 0.5 6252 Blog FINRA Fines Brokerage Firm $10M for Lavish Gifts and Entertainment 17344 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/private-equity-firm-pays-over-11-million-to-settle-russia-related-sanctions-with-ofac 2025-12-16 0.5 6252 Blog Private Equity Firm Pays Over $11 Million To Settle Russia-Related Sanctions With OFAC 17481 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/cftc-announces-reforms-to-rules-of-practice-and-investigations 2025-12-16 0.5 6252 Blog CFTC Announces Reforms To Rules Of Practice And Investigations 17482 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/cftc-agrees-to-dismiss-with-prejudice-spoofing-action-against-energy-trading-firm 2025-12-22 0.5 6252 Blog CFTC Agrees To Dismiss With Prejudice Spoofing Action Against Energy Trading Firm 17548 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/new-doj-fraud-enforcement-division-announced 2026-01-12 0.5 6252 Blog New DOJ Fraud Enforcement Division Announced&nbsp; 17562 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/doj-announces-record-breaking-year-of-settlements-and-judgments-under-the-false-claims-act 2026-01-26 0.5 6252 Blog DOJ Announces Record-Breaking Year Of Settlements And Judgments Under The False Claims Act 17625 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/new-york-attorney-general-institutes-insider-trading-action-under-martin-act 2026-01-26 0.5 6252 Blog New York Attorney General Institutes Insider Trading Action Under Martin Act 17626 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/southern-district-of-new-york-rules-that-ai-generated-documents-prepared-without-the-direction-of-counsel-were-not-protected-by-privilege 2026-02-24 0.5 6252 Blog Southern District Of New York Rules That AI-Generated Documents Prepared Without The Direction Of Counsel Were Not Protected By Privilege 18699 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/cftc-enforcement-division-issues-advisory-on-prediction-market-trading-practices 2026-03-02 0.5 6252 Blog CFTC Enforcement Division Issues Advisory On Prediction Market Trading Practices 19719 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/sec-updates-enforcement-manual-key-changes-to-wells-notices-settlements-and-cooperation-guidance 2026-03-04 0.5 6252 Blog SEC Updates Enforcement Manual: Key Changes To Wells Notices, Settlements, and Cooperation Guidance 19720 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/us-attorneys-office-for-the-southern-district-of-new-york-issues-new-corporate-enforcement-and-voluntary-self-disclosure-program-for-financial-crimes 2026-03-02 0.5 6252 Blog U.S. Attorney&rsquo;s Office For The Southern District Of New York Issues New Corporate Enforcement And Voluntary Self-Disclosure Program For Financial Crimes 19721 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/doj-provides-insights-into-false-claims-act-investigations-related-to-dei-and-antidiscrimination 2026-03-02 0.5 6252 Blog DOJ Provides Insights into False Claims Act Investigations Related to DEI and Antidiscrimination 19723 E13C4539-A673-48FC-BCDC-05A6556D0FC9 https://www.lit-wc.aoshearman.com/foreign-nationals-charged-in-international-operation-targeting-wash-trading-in-cryptocurrency-markets 2026-04-22 0.5 6252 Blog Foreign Nationals Charged In International Operation Targeting Wash Trading In Cryptocurrency Markets&nbsp; 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