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 %26nbsp; 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 %26nbsp; 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 %26nbsp; 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 %26nbsp; 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 %26ldquo;Yates Memo%26rdquo; Against Legal Commentary %26nbsp; 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%26nbsp; %26nbsp; 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%26rsquo;s Whistleblower Program is Expanding %26nbsp; 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%26nbsp; %26nbsp; 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 %26nbsp; 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 %26nbsp; 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%26#39;s Settlement with a Compliance Officer for Alleged AML Violations May Not Signal a New Normal %26nbsp; 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 %26nbsp; 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 %26ldquo;Relief Defendant%26rdquo; in Recent Insider Trading Action Highlights the Impact of United States v. Newman on Insider Trading Enforcement %26nbsp; 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 %26nbsp; 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 %26nbsp; 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 %26nbsp; 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 %26ldquo;Bridgegate%26rdquo; Indictment and Permits Novel Application of Anti-Bribery Statute %26nbsp; 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%26rsquo;s Renewed Focus on Addressing Accounting Fraud %26nbsp; 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 %26nbsp; 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 %26nbsp; 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 %26nbsp; 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%26rsquo;s Decision To Open Whistleblower Office Highlights International Focus On Protecting Whistleblowers %26nbsp; 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 %26nbsp; 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 %26nbsp; 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.%26rsquo;s FCPA Settlement Is a Reminder That Extensive Cooperation Is Not a Free Pass%26nbsp; %26nbsp; 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%26rsquo;s Adoption of Amendments to Rules of Practice Mean It Will Resume Litigating Enforcement Actions as Administrative Proceedings? %26nbsp; 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 %26ldquo;Official Act%26rdquo; And Overturns The Conviction Of Former Virginia Governor Robert McDonnell%26nbsp; %26nbsp; 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 %26nbsp; 2759 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2016-07-25 0.3 https://www.lit-wc.aoshearman.com/siteFiles/13367/14-2985_Microsoft Decision.pdf File: In Significant Electronic Privacy Decision, Second Circuit Rules That Search Warrant Provisions in SCA Do Not Apply Extraterritorially %26nbsp; file 6252 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 %26nbsp; 2764 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2016-08-04 0.3 https://www.lit-wc.aoshearman.com/siteFiles/13422/UNITED STATES DISTRICT COURT.PDF File: Defendant Settles Long-Running Insider Trading Litigation %26nbsp; file 6252 2764 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2016-08-04 0.3 https://www.lit-wc.aoshearman.com/siteFiles/13424/July 25, 2016 SEC Litigation Release.pdf File: Defendant Settles Long-Running Insider Trading Litigation %26nbsp; file 6252 2764 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2016-08-04 0.3 https://www.lit-wc.aoshearman.com/siteFiles/13425/August 28, 2012 Complaint.pdf File: Defendant Settles Long-Running Insider Trading Litigation %26nbsp; file 6252 2764 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2016-08-04 0.3 https://www.lit-wc.aoshearman.com/siteFiles/13426/August 28, 2012 SEC Press Release.pdf File: Defendant Settles Long-Running Insider Trading Litigation %26nbsp; file 6252 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 %26nbsp; 2774 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2016-08-09 0.3 https://www.lit-wc.aoshearman.com/siteFiles/13444/Securities Enforcement 2016 MidYear Review.pdf File: Securities Enforcement: 2016 Mid-Year Review %26nbsp; file 6252 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 %26nbsp; 2775 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2016-08-09 0.3 https://www.lit-wc.aoshearman.com/siteFiles/13445/In-the-Matter-of-Microsoft--Why-It-Matters-LT-071916.pdf File: In the Matter of Microsoft: Why It Matters %26nbsp; file 6252 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 %26amp; Patterns %26nbsp; 2776 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2016-08-09 0.3 https://www.lit-wc.aoshearman.com/siteFiles/13446/Shearman--Sterlings-Recent-Trends-and-Patterns-in-the-Enforcement-of-t.pdf File: FCPA Digest: Recent Trends %26amp; Patterns %26nbsp; file 6252 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 %26nbsp; 2777 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2016-08-09 0.3 https://www.lit-wc.aoshearman.com/siteFiles/13447/Second-Circuit-Reaffirms-Its-View-That-Extender-Statutes-Supersede-Statutes-of-Repose-LIT-05232016.pdf File: Second Circuit Reaffirms Its View That Extender Statutes Supersede Statutes of Repose %26nbsp; file 6252 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%26rsquo;s Use of Administrative Proceedings %26nbsp; 2845 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2016-08-29 0.3 https://www.lit-wc.aoshearman.com/siteFiles/13722/Lucia v SEC (DC Cir. Aug 9 2016).pdf File: D.C. Circuit Court Of Appeals Rejects Constitutional Challenge to SEC%26rsquo;s Use of Administrative Proceedings %26nbsp; file 6252 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 %26nbsp; 2846 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2016-08-29 0.3 https://www.lit-wc.aoshearman.com/siteFiles/13723/KPMG Auditor Decision (Aug 5 2016).pdf File: SEC Levies Harsh Sanctions Against Former KPMG Auditors In ALJ Appeal %26nbsp; file 6252 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 SEC Enters Into First Settlement Agreements Penalizing Companies for Attempting to Block Employees from Receiving Whistleblower Reward Payments %26nbsp; 2853 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2016-08-29 0.3 https://www.lit-wc.aoshearman.com/siteFiles/13730/In the Matter of Blue Linx Holdings, Inc..pdf File: SEC Enters Into First Settlement Agreements Penalizing Companies for Attempting to Block Employees from Receiving Whistleblower Reward Payments %26nbsp; file 6252 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 In Reinstating Conviction, Second Circuit Expands Federal Prosecutors%26rsquo; Ability to Prosecute Fraud Claims in New York %26nbsp; 2854 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2016-08-29 0.3 https://www.lit-wc.aoshearman.com/siteFiles/13731/U.S. v. Lange.pdf File: In Reinstating Conviction, Second Circuit Expands Federal Prosecutors%26rsquo; Ability to Prosecute Fraud Claims in New York %26nbsp; file 6252 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%26rsquo;s Continued Scrutiny Of Private Equity Firms %26nbsp; 2877 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2016-09-02 0.3 https://www.lit-wc.aoshearman.com/siteFiles/13831/Apollo Charged With Disclosure and Supervisory Failures, Rel. No. 2016-165 (Aug 23 2016).pdf File: Private Equity Advisers Settle SEC Charges, Highlighting The SEC%26rsquo;s Continued Scrutiny Of Private Equity Firms %26nbsp; file 6252 2877 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2016-09-02 0.3 https://www.lit-wc.aoshearman.com/siteFiles/13832/In the Matter of Apollo Management V, L.P., et al., File No. 3-17409 (Aug 23 2016).pdf File: Private Equity Advisers Settle SEC Charges, Highlighting The SEC%26rsquo;s Continued Scrutiny Of Private Equity Firms %26nbsp; file 6252 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%26rsquo; Concerns Regarding Anti-Money Laundering Enforcement%26nbsp; %26nbsp; 2888 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2016-09-09 0.3 https://www.lit-wc.aoshearman.com/siteFiles/13917/U.S. Department of the Treasury and Federal Banking Agencies Joint Fact Sheet .pdf File: Federal Banking Agencies Issue Joint Fact Sheet To Help Assuage Banks%26rsquo; Concerns Regarding Anti-Money Laundering Enforcement%26nbsp; %26nbsp; file 6252 2888 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2016-09-09 0.3 https://www.lit-wc.aoshearman.com/siteFiles/13918/IMF Staff Discussion Note.pdf File: Federal Banking Agencies Issue Joint Fact Sheet To Help Assuage Banks%26rsquo; Concerns Regarding Anti-Money Laundering Enforcement%26nbsp; %26nbsp; file 6252 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%26nbsp;%26nbsp; %26nbsp; 2889 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2016-09-09 0.3 https://www.lit-wc.aoshearman.com/siteFiles/13919/Riordan v. S.E.C., 627 F.3d 1230 (D.C. Cir. 2010).pdf File: Tenth Circuit Holds That Disgorgement Is Not Subject to A Five-Year Limitations Period%26nbsp;%26nbsp; %26nbsp; file 6252 2889 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2016-09-09 0.3 https://www.lit-wc.aoshearman.com/siteFiles/13920/S.E.C. v. Graham, 823 F.3d 1357 (11th Cir. 2016).pdf File: Tenth Circuit Holds That Disgorgement Is Not Subject to A Five-Year Limitations Period%26nbsp;%26nbsp; %26nbsp; file 6252 2889 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2016-09-09 0.3 https://www.lit-wc.aoshearman.com/siteFiles/13921/S.E.C. v. Kokesh, No. 15-2087 (10th Cir. Aug. 23, 2016).pdf File: Tenth Circuit Holds That Disgorgement Is Not Subject to A Five-Year Limitations Period%26nbsp;%26nbsp; %26nbsp; file 6252 2889 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2016-09-09 0.3 https://www.lit-wc.aoshearman.com/siteFiles/13922/S.E.C. v. Tambone, 550 F.3d 106, 148 (1st Cir. 2008).pdf File: Tenth Circuit Holds That Disgorgement Is Not Subject to A Five-Year Limitations Period%26nbsp;%26nbsp; %26nbsp; file 6252 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 %26nbsp; 2893 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2016-09-13 0.3 https://www.lit-wc.aoshearman.com/siteFiles/13962/SEC v. Jensen, No. 14-55221 (9th Cir. Aug. 31, 2016).pdf File: Ninth Circuit Supports Expansive Interpretation Of SOX 304 %26nbsp; file 6252 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 %26nbsp; 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 %26nbsp; 2908 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2016-09-19 0.3 https://www.lit-wc.aoshearman.com/siteFiles/14003/Securities Enforcement 2016 MidYear Review1.pdf File: Securities Enforcement: 2016 Mid-Year Review %26nbsp; file 6252 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 %26nbsp; 2909 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2016-09-19 0.3 https://www.lit-wc.aoshearman.com/siteFiles/14004/Eleventh-Circuit-Rules-Disgorgement-Subject-to-FiveYear-Limitations-Period-Ruling-Against-SEC-LIT-061016.pdf File: Eleventh Circuit Rules Disgorgement Subject to Five-Year Limitations Period, Ruling Against SEC %26nbsp; file 6252 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 %26nbsp; 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%26rsquo;s Newly Promulgated Regulation A-Plus %26nbsp; 2932 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2016-09-23 0.3 https://www.lit-wc.aoshearman.com/siteFiles/14053/13. 2016.06.14 U.S. Court of Appeals for the District of Columbia Circuit Opinion in Montana State Auditor v. SEC .pdf File: D.C. Circuit Upholds The Securities And Exchange Commission%26rsquo;s Newly Promulgated Regulation A-Plus %26nbsp; file 6252 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 %26nbsp; 2941 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2016-09-27 0.3 https://www.lit-wc.aoshearman.com/siteFiles/14076/Ernst %26 Young and Gregory Bednar Order (Sept. 19, 2016).pdf File: SEC Receives $9.3 Million Settlement In Auditor Independence Actions %26nbsp; file 6252 2941 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2016-09-27 0.3 https://www.lit-wc.aoshearman.com/siteFiles/14077/Ernst %26 Young and Pamela Hartford Order (Sept. 19, 2016).pdf File: SEC Receives $9.3 Million Settlement In Auditor Independence Actions %26nbsp; file 6252 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%26rsquo;s Allegations Of Accounting And Reporting Fraud For $140 Million %26nbsp; 3006 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2016-10-03 0.3 https://www.lit-wc.aoshearman.com/siteFiles/14192/In the Matter of Weatherford International PLC, Admin. Proc. File No. 3-17582 (Sept. 27, 2016).pdf File: Weatherford Settles SEC%26rsquo;s Allegations Of Accounting And Reporting Fraud For $140 Million %26nbsp; file 6252 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 %26nbsp; 3086 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2016-10-11 0.3 https://www.lit-wc.aoshearman.com/siteFiles/14318/In the Matter of DArelli Pruzansky, P.A., et al., File No. 3-17605 (Sept. 30, 2016).pdf File: SEC Fines Accountants $50,000 For Violating Auditor Independence Rules %26nbsp; file 6252 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 %26nbsp; 3100 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2016-10-18 0.3 https://www.lit-wc.aoshearman.com/siteFiles/14379/PHH Corp. v. CFPB, No. 15-1177 (D.C. Cir. Oct. 11, 2016).pdf File: D.C. Circuit Finds CFPB Structure Unconstitutional %26nbsp; file 6252 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%26nbsp; %26nbsp; 3101 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2016-10-18 0.3 https://www.lit-wc.aoshearman.com/siteFiles/14380/Press Release - SEC FY 2016 Results.pdf File: SEC FY2016 Featured A Record-Breaking Numbers Of Enforcement Actions And Whistleblower Awards%26nbsp; %26nbsp; file 6252 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 %26nbsp; 3120 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2016-10-24 0.3 https://www.lit-wc.aoshearman.com/siteFiles/14416/United States v. Zarrab, Case No. 115-cr-00867 (S.D.N.Y. October 17, 2016).pdf File: Southern District Of New York Denies Motion To Dismiss Indictment In High-Profile Sanctions Prosecution %26nbsp; file 6252 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%26rsquo;s Broad Mandate For Consumer Protection%26nbsp; %26nbsp; 3160 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2016-10-31 0.3 https://www.lit-wc.aoshearman.com/siteFiles/14480/In the Matter of DraftKings, Inc. (Oct. 25, 2016).pdf File: Deceptive Advertising Settlement Between Online Gambling Sites And NYAG Serves As Reminder Of NYAG%26rsquo;s Broad Mandate For Consumer Protection%26nbsp; %26nbsp; file 6252 3160 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2016-10-31 0.3 https://www.lit-wc.aoshearman.com/siteFiles/14481/In the Matter of FanDuel Inc. (Oct. 25, 2016).pdf File: Deceptive Advertising Settlement Between Online Gambling Sites And NYAG Serves As Reminder Of NYAG%26rsquo;s Broad Mandate For Consumer Protection%26nbsp; %26nbsp; file 6252 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 %26nbsp; 3161 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2016-10-31 0.3 https://www.lit-wc.aoshearman.com/siteFiles/14482/FMC Technologies (Oct. 20, 2016).pdf File: SEC Files Settled Accounting Case Against FMC Technologies And Two FMC Officers For Books And Records Violations, Without Alleging Fraud %26nbsp; file 6252 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 %26nbsp; 3198 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2016-11-15 0.3 https://www.lit-wc.aoshearman.com/siteFiles/14582/In the Matter of PowerSecure, Int'l, Admin. Proc. No. 3-17670 (Nov. 7, 2016).pdf File: SEC Levies Half-Million Dollar Fine For Self-Reported Accounting Errors %26nbsp; file 6252 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%26nbsp; %26nbsp; 3271 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-01-25 0.3 https://www.lit-wc.aoshearman.com/siteFiles/20779/A New Model for SEC Enforcement - SEC Chair Mary Jo White.pdf File: Outbound SEC Chair Mary Jo White Urges Continued Expansion Of Tools For SEC Enforcement%26nbsp; %26nbsp; file 6252 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 %26nbsp; 3284 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2016-12-12 0.3 https://www.lit-wc.aoshearman.com/siteFiles/14901/Salman v. United States, No. 15-628, 578 U.S. ___ (Dec. 6, 2016).pdf File: Supreme Court Affirms Pecuniary Benefit Not Required For Family Member Tips, Declines To Address What Constitutes A Benefit In Other Contexts %26nbsp; file 6252 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 %26nbsp; 3285 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2016-12-12 0.3 https://www.lit-wc.aoshearman.com/siteFiles/14902/SEC v. Stifel (Dec 6 2016).pdf File: Court Approves SEC Settlement With Broker-Dealer And Top Executive Regarding Marketing Of CDOs To School Districts %26nbsp; file 6252 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 %26nbsp; 3320 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2016-12-21 0.3 https://www.lit-wc.aoshearman.com/siteFiles/14988/Shaw v. United States, No. 15-5991, 580 U.S. __ (Dec. 12, 2016).pdf File: The Supreme Court Affirms Expansive Reading Of The Bank Fraud Act %26nbsp; file 6252 3320 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2016-12-21 0.3 https://www.lit-wc.aoshearman.com/siteFiles/14989/United States v. Shaw, 781 F.3d 1130 (9th Cir. 2015).pdf File: The Supreme Court Affirms Expansive Reading Of The Bank Fraud Act %26nbsp; file 6252 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%26nbsp; %26nbsp; 3385 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-01-04 0.3 https://www.lit-wc.aoshearman.com/siteFiles/15230/SEC v. Teva Pharmaceutical Indus. Ltd., No. 116-cv-25298 (S.D.N.Y. Dec. 22, 2016).pdf File: Teva Pharmaceuticals Enters Into Fourth-Largest FCPA Settlement%26nbsp; %26nbsp; file 6252 3385 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-01-04 0.3 https://www.lit-wc.aoshearman.com/siteFiles/15231/Teva LLC Criminal Information (December 22, 2016).pdf File: Teva Pharmaceuticals Enters Into Fourth-Largest FCPA Settlement%26nbsp; %26nbsp; file 6252 3385 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-01-04 0.3 https://www.lit-wc.aoshearman.com/siteFiles/15233/Teva LLC Plea Agreement (December 22, 2016).pdf File: Teva Pharmaceuticals Enters Into Fourth-Largest FCPA Settlement%26nbsp; %26nbsp; file 6252 3385 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-01-04 0.3 https://www.lit-wc.aoshearman.com/siteFiles/15234/Teva Pharmaceutical Industries Limited (Release No 23708) Dec 22 2016.pdf File: Teva Pharmaceuticals Enters Into Fourth-Largest FCPA Settlement%26nbsp; %26nbsp; file 6252 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 %26nbsp; 3386 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-01-04 0.3 https://www.lit-wc.aoshearman.com/siteFiles/15235/Braskem, No. 116-cr-644 (E.D.N.Y. Dec. 16, 2016).pdf File: Odebrecht And Braskem Shatter FCPA Settlement Records By Agreeing To Resolve Enforcement Action For $3.5 Billion For Role In Petrobras Scandal %26nbsp; file 6252 3386 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-01-04 0.3 https://www.lit-wc.aoshearman.com/siteFiles/15236/Odebrecht, No. 116-cr-643 (E.D.N.Y. Dec. 16, 2016).pdf File: Odebrecht And Braskem Shatter FCPA Settlement Records By Agreeing To Resolve Enforcement Action For $3.5 Billion For Role In Petrobras Scandal %26nbsp; file 6252 3386 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-01-04 0.3 https://www.lit-wc.aoshearman.com/siteFiles/15237/United States v. Odebrecht S.A., No. 116-cr-643 (E.D.N.Y. Dec. 21, 2016) Plea Deal.pdf File: Odebrecht And Braskem Shatter FCPA Settlement Records By Agreeing To Resolve Enforcement Action For $3.5 Billion For Role In Petrobras Scandal %26nbsp; file 6252 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 %26nbsp; 3387 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-01-04 0.3 https://www.lit-wc.aoshearman.com/siteFiles/15238/In the Matter of SandRidge Energy, Inc., Admin. Proc. File No. 3-17739 (Dec. 20, 2016).pdf File: SandRidge Energy Settles Claims Of Whistleblower Retaliation And Overly Restrictive Settlement Agreements %26nbsp; file 6252 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 %26nbsp; 3408 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-01-09 0.3 https://www.lit-wc.aoshearman.com/siteFiles/15317/Wegelin DOJ Press Release (Jan. 2, 2013).pdf File: DOJ Reaches Final Resolutions On Swiss Bank Program %26nbsp; file 6252 3408 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-01-09 0.3 https://www.lit-wc.aoshearman.com/siteFiles/15318/Wegelin Judgment (Mar. 3, 2013).pdf File: DOJ Reaches Final Resolutions On Swiss Bank Program %26nbsp; file 6252 3408 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-01-09 0.3 https://www.lit-wc.aoshearman.com/siteFiles/15319/Wegelin Superseding Indictment (Feb. 2, 2012).pdf File: DOJ Reaches Final Resolutions On Swiss Bank Program %26nbsp; file 6252 3408 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-01-09 0.3 https://www.lit-wc.aoshearman.com/siteFiles/15320/Swiss Bank Program DOJ Press Release (Dec 26, 2016).pdf File: DOJ Reaches Final Resolutions On Swiss Bank Program %26nbsp; file 6252 3408 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-01-09 0.3 https://www.lit-wc.aoshearman.com/siteFiles/15321/Swiss Bank Tax Statement (Nov. 5, 2013).pdf File: DOJ Reaches Final Resolutions On Swiss Bank Program %26nbsp; file 6252 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 %26nbsp; 3409 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-01-09 0.3 https://www.lit-wc.aoshearman.com/siteFiles/15322/SEC v. Iat Hong, No. 16-Civ __ (S.D.N.Y. Dec. 27, 2016).pdf File: The SEC Charges Three Chinese Nationals With Insider Trading Related To Information That Was Hacked From Two New York Law Firms %26nbsp; file 6252 3409 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-01-09 0.3 https://www.lit-wc.aoshearman.com/siteFiles/15323/5 Events that Rocked the Legal Industry in 2016, Law360 (Dec. 23, 2016).pdf File: The SEC Charges Three Chinese Nationals With Insider Trading Related To Information That Was Hacked From Two New York Law Firms %26nbsp; file 6252 3409 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-01-09 0.3 https://www.lit-wc.aoshearman.com/siteFiles/15324/SEC Press Release Chinese Hackers (Dec 27, 2016).pdf File: The SEC Charges Three Chinese Nationals With Insider Trading Related To Information That Was Hacked From Two New York Law Firms %26nbsp; file 6252 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 %26nbsp; 3425 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-01-12 0.3 https://www.lit-wc.aoshearman.com/siteFiles/15394/Bandimere v. SEC, F.3d , 2016 WL 7439007 (10th Cir. 2016).pdf File: Tenth Circuit Splits With D.C. Circuit On Constitutionality Of SEC ALJs %26nbsp; file 6252 3425 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-01-12 0.3 https://www.lit-wc.aoshearman.com/siteFiles/15395/Raymond J. Lucia Cos. v. SEC, 832 F.3d 277 (D.C. Cir. 2016).pdf File: Tenth Circuit Splits With D.C. Circuit On Constitutionality Of SEC ALJs %26nbsp; file 6252 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%26rsquo;s FCPA Claims %26nbsp; 3445 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-01-16 0.3 https://www.lit-wc.aoshearman.com/siteFiles/15467/In the Matter of Cadbury Limited and Mondelez International, Inc., Admin. Proc. No. 3-17759 (Jan. 6, 2017).pdf File: Mondelēz Agrees To Pay $13 Million To Resolve SEC%26rsquo;s FCPA Claims %26nbsp; file 6252 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%26rsquo;s Fraud Findings In Harding Advisory Case, But Increases Disgorgement For Others %26nbsp; 3446 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-01-16 0.3 https://www.lit-wc.aoshearman.com/siteFiles/15468/In the Matter of Harding Advisory LLC and Wing F. Chau, Admin. Proc. File No. 3-15574 (Jan. 6, 2017) - ALJ Decision.pdf File: SEC Partially Overturns Administrative Law Judge%26rsquo;s Fraud Findings In Harding Advisory Case, But Increases Disgorgement For Others %26nbsp; file 6252 3446 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-01-16 0.3 https://www.lit-wc.aoshearman.com/siteFiles/15469/In the Matter of Harding Advisory LLC and Wing F. Chau, Admin. Proc. File No. 3-15574 (Jan. 6, 2017) - SEC Decision.pdf File: SEC Partially Overturns Administrative Law Judge%26rsquo;s Fraud Findings In Harding Advisory Case, But Increases Disgorgement For Others %26nbsp; file 6252 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 Certiorari To Resolve Circuit Split Relating To Timing Of SEC Disgorgement Actions %26nbsp; 3468 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-01-23 0.3 https://www.lit-wc.aoshearman.com/siteFiles/15603/Kokesh Cert Granted 16-529 (Jan 13, 2017).pdf File: Supreme Court Grants Certiorari To Resolve Circuit Split Relating To Timing Of SEC Disgorgement Actions %26nbsp; file 6252 3468 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-01-23 0.3 https://www.lit-wc.aoshearman.com/siteFiles/15604/Kokesh Cert Petition.pdf File: Supreme Court Grants Certiorari To Resolve Circuit Split Relating To Timing Of SEC Disgorgement Actions %26nbsp; file 6252 3468 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-01-23 0.3 https://www.lit-wc.aoshearman.com/siteFiles/15605/SEC v. Kokesh 834 F.3d 1158 (10th).pdf File: Supreme Court Grants Certiorari To Resolve Circuit Split Relating To Timing Of SEC Disgorgement Actions %26nbsp; file 6252 3468 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-01-23 0.3 https://www.lit-wc.aoshearman.com/siteFiles/15606/SEC v. Kokesh No. 09-CV-1021 SMVLAM (DNM Mar. 30, 2015).pdf File: Supreme Court Grants Certiorari To Resolve Circuit Split Relating To Timing Of SEC Disgorgement Actions %26nbsp; file 6252 3468 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-01-23 0.3 https://www.lit-wc.aoshearman.com/siteFiles/15607/SEC v. Graham 823 F.3d 1357.pdf File: Supreme Court Grants Certiorari To Resolve Circuit Split Relating To Timing Of SEC Disgorgement Actions %26nbsp; file 6252 3468 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-01-23 0.3 https://www.lit-wc.aoshearman.com/siteFiles/15608/Gabelli v. SEC, 133 S. Ct. 1216 (2013).pdf File: Supreme Court Grants Certiorari To Resolve Circuit Split Relating To Timing Of SEC Disgorgement Actions %26nbsp; file 6252 3468 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-01-23 0.3 https://www.lit-wc.aoshearman.com/siteFiles/15609/SEC v. Tambone, 550 F.3d 106 (1st Cir. 2008).pdf File: Supreme Court Grants Certiorari To Resolve Circuit Split Relating To Timing Of SEC Disgorgement Actions %26nbsp; file 6252 3468 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-01-23 0.3 https://www.lit-wc.aoshearman.com/siteFiles/15610/Riordan v. SEC, 627 F.3d 1230 (D.C. Cir. 2010).pdf File: Supreme Court Grants Certiorari To Resolve Circuit Split Relating To Timing Of SEC Disgorgement Actions %26nbsp; file 6252 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%26nbsp; %26nbsp; 3469 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-01-23 0.3 https://www.lit-wc.aoshearman.com/siteFiles/15611/Law360, SEC Settles with BlackRock Over Whistleblower Waivers.pdf File: BlackRock Settles SEC Charges Relating To Its Alleged Practice Of Requiring Employees To Waive Rights To Whistleblower Incentive Payments%26nbsp; %26nbsp; file 6252 3469 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-01-23 0.3 https://www.lit-wc.aoshearman.com/siteFiles/15612/SEC, BlackRock Order (January 17 2017).pdf File: BlackRock Settles SEC Charges Relating To Its Alleged Practice Of Requiring Employees To Waive Rights To Whistleblower Incentive Payments%26nbsp; %26nbsp; file 6252 3469 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-01-23 0.3 https://www.lit-wc.aoshearman.com/siteFiles/15613/SEC, BlackRock Press Release (January 17 2017).pdf File: BlackRock Settles SEC Charges Relating To Its Alleged Practice Of Requiring Employees To Waive Rights To Whistleblower Incentive Payments%26nbsp; %26nbsp; file 6252 3469 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-01-23 0.3 https://www.lit-wc.aoshearman.com/siteFiles/15614/SEC, Implementation of the Whistleblower Provisions.pdf File: BlackRock Settles SEC Charges Relating To Its Alleged Practice Of Requiring Employees To Waive Rights To Whistleblower Incentive Payments%26nbsp; %26nbsp; file 6252 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%26rsquo;s Accounting And FCPA Claims With Admissions %26nbsp; 3481 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-01-30 0.3 https://www.lit-wc.aoshearman.com/siteFiles/15666/In the Matter of Brian McCollum, Admin. Proc. No. 3-17792 (Jan. 18, 2017).pdf File: Orthofix Settles SEC%26rsquo;s Accounting And FCPA Claims With Admissions %26nbsp; file 6252 3481 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-01-30 0.3 https://www.lit-wc.aoshearman.com/siteFiles/15667/In the Matter of Jeffrey Hammel, CPA, Admin. Proc. No. 3-17792 (Jan. 18, 2017).pdf File: Orthofix Settles SEC%26rsquo;s Accounting And FCPA Claims With Admissions %26nbsp; file 6252 3481 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-01-30 0.3 https://www.lit-wc.aoshearman.com/siteFiles/15668/In the Matter of Kenneth Mack and Bryan McMillan, Admin. Proc. No. 3-17794 (Jan. 18, 2017).pdf File: Orthofix Settles SEC%26rsquo;s Accounting And FCPA Claims With Admissions %26nbsp; file 6252 3481 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-01-30 0.3 https://www.lit-wc.aoshearman.com/siteFiles/15669/In the Matter of Orthofix International N.V., Admin. Proc. No. 3-17791 (Jan. 18, 2017).pdf File: Orthofix Settles SEC%26rsquo;s Accounting And FCPA Claims With Admissions %26nbsp; file 6252 3481 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-01-30 0.3 https://www.lit-wc.aoshearman.com/siteFiles/15670/In the Matter of Orthofix International N.V., Admin. Proc. No. 3-17800 (Jan. 18, 2017).PDF File: Orthofix Settles SEC%26rsquo;s Accounting And FCPA Claims With Admissions %26nbsp; file 6252 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 %26nbsp; 3482 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-01-30 0.3 https://www.lit-wc.aoshearman.com/siteFiles/15671/In the Matter of Overseas Shipholding Group, Inc. and Myles Robert Itkin, Admin. Proc. No. 3-17807 (Jan. 23, 2017) .pdf File: Shipping Conglomerate OSG And Former CFO Agree To Settle SEC Claims Over Failure To Recognize Tax Liabilities %26nbsp; file 6252 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 %26nbsp; 3485 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-01-30 0.3 https://www.lit-wc.aoshearman.com/siteFiles/15674/United States v. Litvak, 30 F. Supp. 3d 143 (D. Conn. 2014).pdf File: Bond Trader Acquitted Of All But One Securities Fraud Charges In Retrial %26nbsp; file 6252 3485 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-01-30 0.3 https://www.lit-wc.aoshearman.com/siteFiles/15675/United States v. Litvak, 808 F.3d 160 (2d Cir. 2015) .pdf File: Bond Trader Acquitted Of All But One Securities Fraud Charges In Retrial %26nbsp; file 6252 3485 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-01-30 0.3 https://www.lit-wc.aoshearman.com/siteFiles/15676/United States v. Litvak, D. Conn., 313-Cr-19, Jury Verdict (Jan. 27, 2017) (No. 513).pdf File: Bond Trader Acquitted Of All But One Securities Fraud Charges In Retrial %26nbsp; file 6252 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 %26nbsp; 3527 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-02-06 0.3 https://www.lit-wc.aoshearman.com/siteFiles/15769/In the Matter of Windsor Street Capital, L.P, Admin. Proc. No. 3-17813 (Jan. 25, 2017).pdf File: SEC Charged New York Brokerage Firm And Former Compliance Officer With Gatekeeping And AML Failures Related To Penny Stock Sales %26nbsp; file 6252 3527 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-02-06 0.3 https://www.lit-wc.aoshearman.com/siteFiles/15770/SEC Press Release, Rel. No. 2017-33 (Jan. 25, 2017).pdf File: SEC Charged New York Brokerage Firm And Former Compliance Officer With Gatekeeping And AML Failures Related To Penny Stock Sales %26nbsp; file 6252 3527 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-02-06 0.3 https://www.lit-wc.aoshearman.com/siteFiles/15771/SEC Enforcement Director Andrew Ceresney, National Conference Keynote Address (Nov. 4, 2015).pdf File: SEC Charged New York Brokerage Firm And Former Compliance Officer With Gatekeeping And AML Failures Related To Penny Stock Sales %26nbsp; file 6252 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%26rsquo;s Disgorgement Reach Under SOX 304 %26nbsp; 3546 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-02-13 0.3 https://www.lit-wc.aoshearman.com/siteFiles/15849/SEC v. Bardman - Order.pdf File: Northern District Of California Limits SEC%26rsquo;s Disgorgement Reach Under SOX 304 %26nbsp; file 6252 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 %26nbsp; 3547 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-02-13 0.3 https://www.lit-wc.aoshearman.com/siteFiles/15850/Wadler v. Bio-Rad Laboratories Inc. et al - Complaint.pdf File: California Jury Finds That Bio-Rad Violated The Whistleblower Protections Of The Sarbanes-Oxley Act By Terminating Its General Counsel %26nbsp; file 6252 3547 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-02-13 0.3 https://www.lit-wc.aoshearman.com/siteFiles/15851/Wadler v. Bio-Rad Laboratories Inc. et al - Final Verdict Form.pdf File: California Jury Finds That Bio-Rad Violated The Whistleblower Protections Of The Sarbanes-Oxley Act By Terminating Its General Counsel %26nbsp; file 6252 3547 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-02-13 0.3 https://www.lit-wc.aoshearman.com/siteFiles/15852/2014 DOJ Press Release re Bio-Rad Laboratories.pdf File: California Jury Finds That Bio-Rad Violated The Whistleblower Protections Of The Sarbanes-Oxley Act By Terminating Its General Counsel %26nbsp; file 6252 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 %26nbsp; 3548 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-02-13 0.3 https://www.lit-wc.aoshearman.com/siteFiles/15853/SEC v. Miller et al - Complaint.pdf File: SEC Settles Revenue Recognition Allegations And Charges Two Executives %26nbsp; file 6252 3548 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-02-13 0.3 https://www.lit-wc.aoshearman.com/siteFiles/15854/In the Matter of Ixia and Victor Alston - Order.pdf File: SEC Settles Revenue Recognition Allegations And Charges Two Executives %26nbsp; file 6252 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 SEC Announces Enforcement Actions Arising Out Of Corporate Governance Disputes %26nbsp; 3568 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-02-20 0.3 https://www.lit-wc.aoshearman.com/siteFiles/15937/In re CVR Energy Inc. - Order.pdf File: SEC Announces Enforcement Actions Arising Out Of Corporate Governance Disputes %26nbsp; file 6252 3568 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-02-20 0.3 https://www.lit-wc.aoshearman.com/siteFiles/15938/In re Eberwein et al - Order.pdf File: SEC Announces Enforcement Actions Arising Out Of Corporate Governance Disputes %26nbsp; file 6252 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 %26nbsp; 3597 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-02-27 0.3 https://www.lit-wc.aoshearman.com/siteFiles/16031/UNITED STATES ATTORNEYS OFFICE UNITED STATES ATTORNEYS MANUAL 9 28300 1997.pdf File: U.S. Department Of Justice Issues Guidance On Corporate Compliance Programs %26nbsp; file 6252 3597 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-02-27 0.3 https://www.lit-wc.aoshearman.com/siteFiles/16026/DOJ Fraud Section, Evaluation of Corporate Compliance Programs (2017).pdf File: U.S. Department Of Justice Issues Guidance On Corporate Compliance Programs %26nbsp; file 6252 3597 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-02-27 0.3 https://www.lit-wc.aoshearman.com/siteFiles/16027/SEC and DOJ Officials Comment on Expectations of Compliance Professionals (May 31, 2016).pdf File: U.S. Department Of Justice Issues Guidance On Corporate Compliance Programs %26nbsp; file 6252 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 %26nbsp; 3624 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-03-06 0.3 https://www.lit-wc.aoshearman.com/siteFiles/16071/United States v. Walters (S.D.N.Y. Mar. 1, 2017) (MTD).pdf File: Southern District Of New York Finds That Government Leaks Do Not Warrant Dismissal Of Insider Trading Charges Against Billy Walters %26nbsp; file 6252 3624 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-03-06 0.3 https://www.lit-wc.aoshearman.com/siteFiles/16072/U.S._v._Walters (Indictment).pdf File: Southern District Of New York Finds That Government Leaks Do Not Warrant Dismissal Of Insider Trading Charges Against Billy Walters %26nbsp; file 6252 3624 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-03-06 0.3 https://www.lit-wc.aoshearman.com/siteFiles/16073/United States v. Silver, No. 15-cr-00093-VEC, slip op. at 1 (S.D.N.Y. Apr. 10, 2015).pdf File: Southern District Of New York Finds That Government Leaks Do Not Warrant Dismissal Of Insider Trading Charges Against Billy Walters %26nbsp; file 6252 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%26rsquo;s Securities Fraud Lawsuit Against Texas Attorney General Dismissed For Second Time Over Lack Of Duty To Investors%26nbsp; %26nbsp; 3657 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-03-13 0.3 https://www.lit-wc.aoshearman.com/siteFiles/16227/Cent. Bank of Denver, N.A. v. First Interstate Bank of Denver, 511 U.S. 164, 174 (1994).pdf File: SEC%26rsquo;s Securities Fraud Lawsuit Against Texas Attorney General Dismissed For Second Time Over Lack Of Duty To Investors%26nbsp; %26nbsp; file 6252 3657 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-03-13 0.3 https://www.lit-wc.aoshearman.com/siteFiles/16228/SEC v. William E. Mapp, III, et al., No. 416-cv-00246 (E.D. Tex. Mar. 2, 2017), ECF No. 96.pdf File: SEC%26rsquo;s Securities Fraud Lawsuit Against Texas Attorney General Dismissed For Second Time Over Lack Of Duty To Investors%26nbsp; %26nbsp; file 6252 3657 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-03-13 0.3 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 File: SEC%26rsquo;s Securities Fraud Lawsuit Against Texas Attorney General Dismissed For Second Time Over Lack Of Duty To Investors%26nbsp; %26nbsp; file 6252 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 %26nbsp; 3668 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-03-20 0.3 https://www.lit-wc.aoshearman.com/siteFiles/16314/Dept of Mkt. Regulatory v. Sheerin, Compl. No. 2011027926301 (Aug. 1, 2013).pdf File: FINRA Dismisses Insider Trading Charges %26nbsp; file 6252 3668 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-03-20 0.3 https://www.lit-wc.aoshearman.com/siteFiles/16315/National Adjudicatory Council Sheerin Decision (Mar. 13, 2017).pdf File: FINRA Dismisses Insider Trading Charges %26nbsp; file 6252 3668 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-03-20 0.3 https://www.lit-wc.aoshearman.com/siteFiles/16316/Office of Hearing Officers Sheerin Decision (May 18, 2015).pdf File: FINRA Dismisses Insider Trading Charges %26nbsp; file 6252 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 %26nbsp; 3712 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-03-27 0.3 https://www.lit-wc.aoshearman.com/siteFiles/16434/SEC v. Cooperman, No. 16-cv-05043 (E.D. Pa. Mar. 20, 2017).pdf File: 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 %26nbsp; file 6252 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 Morrison 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%26nbsp;%26nbsp; %26nbsp; 3743 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-04-10 0.3 https://www.lit-wc.aoshearman.com/siteFiles/16745/Morrison v. National Australia Bank 561 US 247 (2010).pdf File: Utah District Court Limits Reach Of Morrison 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%26nbsp;%26nbsp; %26nbsp; file 6252 3743 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-04-10 0.3 https://www.lit-wc.aoshearman.com/siteFiles/16746/SEC v. Traffic Monsoon No. 16-cv-00832-JNP (July 26, 2016) (Complaint).pdf File: Utah District Court Limits Reach Of Morrison 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%26nbsp;%26nbsp; %26nbsp; file 6252 3743 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-04-10 0.3 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 File: Utah District Court Limits Reach Of Morrison 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%26nbsp;%26nbsp; %26nbsp; file 6252 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 %26ldquo;Trolling-Type%26rdquo; Scheme To Generate False Publicity For Certain Issuers %26nbsp; 3754 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-04-17 0.3 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 File: SEC Files Enforcement Actions Against Multiple Defendants In %26ldquo;Trolling-Type%26rdquo; Scheme To Generate False Publicity For Certain Issuers %26nbsp; file 6252 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 %26nbsp; 3791 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-04-25 0.3 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 File: Administrative Law Judge Rules Against SEC In Insider Trading Case %26nbsp; file 6252 3791 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-04-25 0.3 https://www.lit-wc.aoshearman.com/siteFiles/16995/Hill v. SEC, 114 F. Supp. 3d 1297 (N.D. Ga. 2015).pdf File: Administrative Law Judge Rules Against SEC In Insider Trading Case %26nbsp; file 6252 3791 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-04-25 0.3 https://www.lit-wc.aoshearman.com/siteFiles/16996/Hill v. SEC, 825 F.3d 1236 (N.D. Ga. 2016).pdf File: Administrative Law Judge Rules Against SEC In Insider Trading Case %26nbsp; file 6252 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%26rsquo; Imprisonment After High-Profile Re-Trial In Securities Fraud Case %26nbsp; 3816 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-05-01 0.3 https://www.lit-wc.aoshearman.com/siteFiles/17089/United States v. Litvak, 14-2902 (2d Cir. Dec. 8, 2015).pdf File: Former Bond Trader Jesse Litvak Sentenced To Two Years%26rsquo; Imprisonment After High-Profile Re-Trial In Securities Fraud Case %26nbsp; file 6252 3816 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-05-01 0.3 https://www.lit-wc.aoshearman.com/siteFiles/17090/Litvak Sentencing Minutes, 13-cr-00019 (Jul. 23, 2014).pdf File: Former Bond Trader Jesse Litvak Sentenced To Two Years%26rsquo; Imprisonment After High-Profile Re-Trial In Securities Fraud Case %26nbsp; file 6252 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 %26nbsp; 3859 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-05-15 0.3 https://www.lit-wc.aoshearman.com/siteFiles/17296/Department Charging and Sentencing Policy (May 10, 2017).pdf File: Administration Unveils New Department Of Justice Charging And Sentencing Policies For Federal Prosecutors %26nbsp; file 6252 3859 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-05-15 0.3 https://www.lit-wc.aoshearman.com/siteFiles/17297/Department Policy on Charging and Sentencing (May 19, 2010).pdf File: Administration Unveils New Department Of Justice Charging And Sentencing Policies For Federal Prosecutors %26nbsp; file 6252 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 %26nbsp; 3876 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-05-22 0.3 https://www.lit-wc.aoshearman.com/siteFiles/17319/SEC v. Chan, S.D.N.Y, 117-cv-3605.pdf File: More Bond Traders Sued By The SEC For Alleged Fraudulent Misrepresentations Relating To MBS Prices %26nbsp; file 6252 3876 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-05-22 0.3 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 File: More Bond Traders Sued By The SEC For Alleged Fraudulent Misrepresentations Relating To MBS Prices %26nbsp; file 6252 3876 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-05-22 0.3 https://www.lit-wc.aoshearman.com/siteFiles/17321/SEC v Im, S.D.N.Y, 117-cv-3613.pdf File: More Bond Traders Sued By The SEC For Alleged Fraudulent Misrepresentations Relating To MBS Prices %26nbsp; file 6252 3876 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-05-22 0.3 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 File: More Bond Traders Sued By The SEC For Alleged Fraudulent Misrepresentations Relating To MBS Prices %26nbsp; file 6252 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 United States Supreme Court Holds SEC Disgorgement Orders Subject To Five-Year Statute Of Limitations %26nbsp; 3903 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-06-08 0.3 https://www.lit-wc.aoshearman.com/siteFiles/17503/Kokesh v. SEC No. 16-529.pdf File: United States Supreme Court Holds SEC Disgorgement Orders Subject To Five-Year Statute Of Limitations %26nbsp; file 6252 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 %26nbsp; 3916 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-06-16 0.3 https://www.lit-wc.aoshearman.com/siteFiles/17617/Honeycutt v. United States, No. 16-142 (June 5, 2017).pdf File: Supreme Court Of The United States Finds Criminal Forfeiture Statute Does Not Provide For Joint And Several Liability %26nbsp; file 6252 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%26nbsp; %26nbsp; 3925 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-06-26 0.3 https://www.lit-wc.aoshearman.com/siteFiles/17669/United States v. Shapiro, 3.15-cr-155, Indictment (Sept 3, 2015).pdf File: Bond Traders Beat Most Charges In RMBS Fraud Case%26nbsp; %26nbsp; file 6252 3925 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-06-26 0.3 https://www.lit-wc.aoshearman.com/siteFiles/17670/United States v. Shapiro, 3.15-cr-155, Verdict Form (June 15, 2017).pdf File: Bond Traders Beat Most Charges In RMBS Fraud Case%26nbsp; %26nbsp; file 6252 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%26nbsp; %26nbsp; 3947 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-07-10 0.3 https://www.lit-wc.aoshearman.com/siteFiles/17855/Kokesh v. SEC, No. 16-529 (June 5, 2017).pdf File: Eighth Circuit Vacates Disgorgement Order As Time-Barred Under Kokesh But Leaves Injunction Undisturbed%26nbsp; %26nbsp; file 6252 3947 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-07-10 0.3 https://www.lit-wc.aoshearman.com/siteFiles/17856/United States Sec. %26 Exch. Comm'n v. Collyard, No. 16-1405 (8th Cir. June 29, 2017).pdf File: Eighth Circuit Vacates Disgorgement Order As Time-Barred Under Kokesh But Leaves Injunction Undisturbed%26nbsp; %26nbsp; file 6252 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 %26nbsp; 3948 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-07-10 0.3 https://www.lit-wc.aoshearman.com/siteFiles/17857/Letter from Laura Perkins %26 Nicholas Acker to Lucinda Low (June 16, 2017).pdf File: Fourth Declination With Disgorgement Announced Under FCPA Pilot Program %26nbsp; file 6252 3948 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-07-10 0.3 https://www.lit-wc.aoshearman.com/siteFiles/17858/Letter from Nicola J. Mrazek to Nathaniel B. Edmonds (June 21, 2017).pdf File: Fourth Declination With Disgorgement Announced Under FCPA Pilot Program %26nbsp; file 6252 3948 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-07-10 0.3 https://www.lit-wc.aoshearman.com/siteFiles/17859/Shearman %26 Sterling LLP, Recent Trends %26 Patterns in the Enforcement of the Foreign Corrupt Practices Act (July 5, 2017).pdf File: Fourth Declination With Disgorgement Announced Under FCPA Pilot Program %26nbsp; file 6252 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 %26nbsp; 3987 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-07-17 0.3 https://www.lit-wc.aoshearman.com/siteFiles/18051/United States v. Silver (2d Cir. July 13, 2017).pdf File: The Second Circuit Overturns Watershed Conviction Of Sheldon Silver Based On Recent Supreme Court Decision %26nbsp; file 6252 3987 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-07-17 0.3 https://www.lit-wc.aoshearman.com/siteFiles/18052/McDonnell v. United States, 136 S. Ct. 2355 (2016).pdf File: The Second Circuit Overturns Watershed Conviction Of Sheldon Silver Based On Recent Supreme Court Decision %26nbsp; file 6252 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%26rsquo;s Reports Need Not Be Publicly Disclosed %26nbsp; 3988 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-07-17 0.3 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 File: Second Circuit Finds That HSBC Monitor%26rsquo;s Reports Need Not Be Publicly Disclosed %26nbsp; file 6252 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 %26nbsp; 4014 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-07-24 0.3 https://www.lit-wc.aoshearman.com/siteFiles/18252/U.S. v. Allen and Conti, 16-898-cr (2d Cir. July 19, 2017).pdf File: Second Circuit Overturns Convictions, Dismisses Indictments In LIBOR Case Due To Taint Of Testimony Compelled By Foreign Government %26nbsp; file 6252 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 %26nbsp; 4029 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-07-31 0.3 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 File: SEC Brings First Corporate FCPA Enforcement Action Under Its New Leadership %26nbsp; file 6252 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 %26nbsp; 4030 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-07-31 0.3 https://www.lit-wc.aoshearman.com/siteFiles/18310/United States v. Yan, 17-mag-5156 (July 12, 2017).pdf File: DOJ And SEC File Parallel Criminal And Civil Insider Trading Charges Against Scientist Who Conducted Internet Searches On How To Avoid SEC Detection %26nbsp; file 6252 4030 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-07-31 0.3 https://www.lit-wc.aoshearman.com/siteFiles/18311/SEC v. Yan et al., 17-cv-05257 (S.D.N.Y. July 12, 2017).pdf File: DOJ And SEC File Parallel Criminal And Civil Insider Trading Charges Against Scientist Who Conducted Internet Searches On How To Avoid SEC Detection %26nbsp; file 6252 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%26nbsp; %26nbsp; 4190 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-08-07 0.3 https://www.lit-wc.aoshearman.com/siteFiles/18385/In the Matter of Cadaret, Grant %26 Co., Inc., Admin. Proc. File No. 3-18087 (Aug. 1, 2017).pdf File: Investment Adviser Settles SEC Allegations Over Directing Clients To High-Fee Mutual Fund Share Classes%26nbsp; %26nbsp; file 6252 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 %26nbsp; 4217 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-08-14 0.3 https://www.lit-wc.aoshearman.com/siteFiles/18499/U.S. v. Wey, 15-cr-611 (S.D.N.Y. Aug. 8 2017).pdf File: Government Dismisses All Charges In Benjamin Wey Securities Fraud Case After U.S. District Judge Suppresses All Evidence Obtained Pursuant To Search Warrant %26nbsp; file 6252 4217 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-08-14 0.3 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 File: Government Dismisses All Charges In Benjamin Wey Securities Fraud Case After U.S. District Judge Suppresses All Evidence Obtained Pursuant To Search Warrant %26nbsp; file 6252 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 %26nbsp; 4218 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-08-14 0.3 https://www.lit-wc.aoshearman.com/siteFiles/18498/U.S. v. Coscia, No. 16-3017 (7th Cir Aug. 7 2017).pdf File: Seventh Circuit Upholds First Spoofing Conviction Against High-Frequency Trader %26nbsp; file 6252 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%26nbsp; %26nbsp; 4230 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-08-21 0.3 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 File: Audit Firm And Engagement Partner Settle SEC Allegations Stemming From 2011 Audit Of A New Client%26nbsp; %26nbsp; file 6252 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 %26nbsp; 4234 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-08-28 0.3 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 File: A Second Broker-Dealer Settles SEC Allegations Over Improper Handling Of Pre-Released ADRs %26nbsp; file 6252 4234 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-08-28 0.3 https://www.lit-wc.aoshearman.com/siteFiles/18635/In the Matter of ITG Inc., Admin Proc. File No. 3-17770 (Jan. 12, 2017).pdf File: A Second Broker-Dealer Settles SEC Allegations Over Improper Handling Of Pre-Released ADRs %26nbsp; file 6252 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 Newman Decision In Upholding Insider Trading Conviction %26nbsp; 4235 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-08-28 0.3 https://www.lit-wc.aoshearman.com/siteFiles/18636/United States v. Martoma, No. 14-3599 (2d Cir. Aug. 23, 2017).pdf File: Divided Second Circuit Panel Abandons Relationship Test From Landmark Newman Decision In Upholding Insider Trading Conviction %26nbsp; file 6252 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 %26nbsp; 4284 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-09-18 0.3 https://www.lit-wc.aoshearman.com/siteFiles/18982/In re Suntrust Investment Services, Inc..pdf File: SEC Files Administrative Proceeding Against An Investment Services Firm For Improperly Recommending Higher-Fee Mutual Funds To Investment Clients %26nbsp; file 6252 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 %26nbsp; 4294 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-09-25 0.3 https://www.lit-wc.aoshearman.com/siteFiles/19000/Telia Criminal Information.pdf File: DOJ And SEC Bring Major FCPA Enforcement Actions Against Swedish Telecom Firm, Imposing One Of Largest FCPA Penalties In History %26nbsp; file 6252 4294 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-09-25 0.3 https://www.lit-wc.aoshearman.com/siteFiles/19001/Telia DPA.pdf File: DOJ And SEC Bring Major FCPA Enforcement Actions Against Swedish Telecom Firm, Imposing One Of Largest FCPA Penalties In History %26nbsp; file 6252 4294 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-09-25 0.3 https://www.lit-wc.aoshearman.com/siteFiles/19002/Telia SEC Order.pdf File: DOJ And SEC Bring Major FCPA Enforcement Actions Against Swedish Telecom Firm, Imposing One Of Largest FCPA Penalties In History %26nbsp; file 6252 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%26rsquo;s McDonnell Decision %26nbsp; 4305 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-10-02 0.3 https://www.lit-wc.aoshearman.com/siteFiles/19130/United States v. Skelos, et al., No. 16-1618 (2d Cir. 2017).pdf File: Second Circuit Overturns Convictions Of Former Senate Majority Leader Dean Skelos And His Son Based On Supreme Court%26rsquo;s McDonnell Decision %26nbsp; file 6252 4305 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-10-02 0.3 https://www.lit-wc.aoshearman.com/siteFiles/19131/United States v. Silver (2d Cir. 2017).pdf File: Second Circuit Overturns Convictions Of Former Senate Majority Leader Dean Skelos And His Son Based On Supreme Court%26rsquo;s McDonnell Decision %26nbsp; file 6252 4305 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-10-02 0.3 https://www.lit-wc.aoshearman.com/siteFiles/19132/McDonnell v. United States, 136 S. Ct. 2355 (2016)1.pdf File: Second Circuit Overturns Convictions Of Former Senate Majority Leader Dean Skelos And His Son Based On Supreme Court%26rsquo;s McDonnell Decision %26nbsp; file 6252 4305 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-10-02 0.3 https://www.lit-wc.aoshearman.com/siteFiles/19135/Press Release, Statement of Acting US Attorney Joon H. Kim (Sept 26, 2017)2.pdf File: Second Circuit Overturns Convictions Of Former Senate Majority Leader Dean Skelos And His Son Based On Supreme Court%26rsquo;s McDonnell Decision %26nbsp; file 6252 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%26rsquo;s ALJ Dismisses Fraud Charges In High-Profile Lynn Tilton Case %26nbsp; 4306 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-10-02 0.3 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 File: SEC%26rsquo;s ALJ Dismisses Fraud Charges In High-Profile Lynn Tilton Case %26nbsp; file 6252 4306 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-10-02 0.3 https://www.lit-wc.aoshearman.com/siteFiles/19137/Rolf v. Blyth, Eastman Dillon %26 Co., 570 F.2d 38, 47 (2d. Cir. 1978).pdf File: SEC%26rsquo;s ALJ Dismisses Fraud Charges In High-Profile Lynn Tilton Case %26nbsp; file 6252 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 D.C. Circuit Applies Janus To Set Aside SEC Sanctions Against Investment Banker %26nbsp; 4313 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-10-09 0.3 https://www.lit-wc.aoshearman.com/siteFiles/19174/Lorenzo v. SEC.pdf File: D.C. Circuit Applies Janus To Set Aside SEC Sanctions Against Investment Banker %26nbsp; file 6252 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 %26nbsp; 4354 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-10-23 0.3 https://www.lit-wc.aoshearman.com/siteFiles/19377/CFTC Press Release (October 10, 2017).pdf File: CFTC Imposes Sanctions On A Proprietary Trading Firm For Spoofing The Market %26nbsp; file 6252 4354 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-10-23 0.3 https://www.lit-wc.aoshearman.com/siteFiles/19378/In the Matter of Arab Global Commodities DMCC, CFTC No. 18-01 (Oct., 10, 2017).pdf File: CFTC Imposes Sanctions On A Proprietary Trading Firm For Spoofing The Market %26nbsp; file 6252 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 %26nbsp; 4370 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-10-30 0.3 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 File: Forex Trader Found Guilty Of Defrauding Client %26nbsp; file 6252 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%26rsquo;s Campaign Manager To Answer Special Counsel%26rsquo;s Questions Regarding Aspects Of Her Prior Representation%26mdash;Finding That Scope Of Special Counsel%26rsquo;s Inquiry Falls Within %26ldquo;Crime-Fraud%26rdquo; And Other Exceptions To Applicable Privileges%26nbsp; %26nbsp; 4395 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-11-06 0.3 https://www.lit-wc.aoshearman.com/siteFiles/19502/In re Grand Jury Investigation, 17-ms-2336 (Oct. 2, 2017).pdf File: D.C. District Court Compels Former Lawyer To President Trump%26rsquo;s Campaign Manager To Answer Special Counsel%26rsquo;s Questions Regarding Aspects Of Her Prior Representation%26mdash;Finding That Scope Of Special Counsel%26rsquo;s Inquiry Falls Within %26ldquo;Crime-Fraud%26rdquo; And Other Exceptions To Applicable Privileges%26nbsp; %26nbsp; file 6252 4395 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-11-06 0.3 https://www.lit-wc.aoshearman.com/siteFiles/19503/In re Grand Jury 475 F.3d 1299 (D.C. Cir. 2007).pdf File: D.C. District Court Compels Former Lawyer To President Trump%26rsquo;s Campaign Manager To Answer Special Counsel%26rsquo;s Questions Regarding Aspects Of Her Prior Representation%26mdash;Finding That Scope Of Special Counsel%26rsquo;s Inquiry Falls Within %26ldquo;Crime-Fraud%26rdquo; And Other Exceptions To Applicable Privileges%26nbsp; %26nbsp; file 6252 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 %26nbsp; 4406 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-11-13 0.3 https://www.lit-wc.aoshearman.com/siteFiles/19587/In the Matter of Cargill, Inc. CFTC No. 18-03 (Nov. 6, 2017).pdf File: CFTC Fines Cargill $10 Million For Misreporting Swap Trades %26nbsp; file 6252 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 %26nbsp; 4407 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-11-13 0.3 https://www.lit-wc.aoshearman.com/siteFiles/19588/U.S. v. Finley (July 21, 2017).pdf File: Charges Unsealed Against Five Individuals, Including Two Executives, In Foreign Bribery Scheme Involving Rolls-Royce %26nbsp; file 6252 4407 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-11-13 0.3 https://www.lit-wc.aoshearman.com/siteFiles/19589/U.S. v. Barnett (December 20, 2016).pdf File: Charges Unsealed Against Five Individuals, Including Two Executives, In Foreign Bribery Scheme Involving Rolls-Royce %26nbsp; file 6252 4407 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-11-13 0.3 https://www.lit-wc.aoshearman.com/siteFiles/19590/U.S. v. Kohler (June 6, 2017).pdf File: Charges Unsealed Against Five Individuals, Including Two Executives, In Foreign Bribery Scheme Involving Rolls-Royce %26nbsp; file 6252 4407 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-11-13 0.3 https://www.lit-wc.aoshearman.com/siteFiles/19591/U.S. v. Zuurhout (June 9, 2017).pdf File: Charges Unsealed Against Five Individuals, Including Two Executives, In Foreign Bribery Scheme Involving Rolls-Royce %26nbsp; file 6252 4407 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-11-13 0.3 https://www.lit-wc.aoshearman.com/siteFiles/19592/U.S. v. Contoguris (October 12, 2017).pdf File: Charges Unsealed Against Five Individuals, Including Two Executives, In Foreign Bribery Scheme Involving Rolls-Royce %26nbsp; file 6252 4407 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-11-13 0.3 https://www.lit-wc.aoshearman.com/siteFiles/19593/DOJ Press Release - Five Individuals Charged in Foreign Bribery Scheme Involving Rolls (Nov. 7, 2017).pdf File: Charges Unsealed Against Five Individuals, Including Two Executives, In Foreign Bribery Scheme Involving Rolls-Royce %26nbsp; file 6252 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 %26nbsp; 4454 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-11-20 0.3 https://www.lit-wc.aoshearman.com/siteFiles/19757/The Bank of Tokyo-Mitsubishi UFJ, Ltd. v. Maria Vullo, No. 117-cv-08691(S.D.N.Y. Nov. 8, 2017).pdf File: Bank Of Tokyo Mitsubishi Sues DFS And Alleges That DFS Has No Investigatory Or Enforcement Authority Over It Since It Is Now Federally Licensed %26nbsp; file 6252 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 %26nbsp; 4513 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-12-04 0.3 https://www.lit-wc.aoshearman.com/siteFiles/20039/Deputy Attorney General Rosenstein Delivers Remarks at the 34th International Conference on the Foreign Corrupt Practice Act (November 29, 2017).pdf File: Deputy Attorney General Rod Rosenstein Announces Revised FCPA Corporate Enforcement Policy %26nbsp; file 6252 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 %26nbsp; 4514 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-12-04 0.3 https://www.lit-wc.aoshearman.com/siteFiles/20041/Digital Realty Trust, Inc. v. Somers, No. 16-1276 (November 28, 2017).pdf File: Supreme Court Oral Argument Suggests Skepticism Over SEC Rule Protecting Internal Whistleblowers From Retaliation Under Dodd-Frank %26nbsp; file 6252 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 %26nbsp; 4563 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-12-11 0.3 https://www.lit-wc.aoshearman.com/siteFiles/20174/Ratan Settlement.pdf File: SEC Announces Cease-and-Desist Order Against Couple And Their Respective Hedge Funds Over Sharing Of Confidential Strategies From Another Fund %26nbsp; file 6252 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 %26nbsp; 4564 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-12-11 0.3 https://www.lit-wc.aoshearman.com/siteFiles/20175/SBM Deferred Prosecution Agreement.pdf File: DOJ Announces DPA And Guilty Plea Involving Netherlands-Based Energy Services Firm That DOJ Claims Failed To Promptly Report Alleged FCPA Violations %26nbsp; file 6252 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 %26nbsp; 4565 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-12-11 0.3 https://www.lit-wc.aoshearman.com/siteFiles/20176/DOJ Cert Petition-Lucia v. SEC.pdf File: 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 %26nbsp; file 6252 4565 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-12-11 0.3 https://www.lit-wc.aoshearman.com/siteFiles/20180/SEC Ratification Order - Raymond J. Lucia and Raymond J. Lucia Companies, Inc. v. SEC.pdf File: 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 %26nbsp; file 6252 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 %26nbsp; 4599 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2017-12-18 0.3 https://www.lit-wc.aoshearman.com/siteFiles/20241/SEC v. Westport Capital Markets, LLC, et al. (D. Conn. Dec. 11, 2017).pdf File: SEC Charges Advisory Firm For Breaches Of Fiduciary Duties %26nbsp; file 6252 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%26rsquo;s In-House Judges%26nbsp;%26nbsp; %26nbsp; 4732 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-01-16 0.3 https://www.lit-wc.aoshearman.com/siteFiles/20566/Order List.pdf File: The Supreme Court Agrees To Review Appointment Requirements For SEC%26rsquo;s In-House Judges%26nbsp;%26nbsp; %26nbsp; file 6252 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%26rsquo;s Appeal Regarding Restitution Of Legal Fees Associated With An Internal Investigation %26nbsp; 4760 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-01-22 0.3 https://www.lit-wc.aoshearman.com/siteFiles/20668/United States v. Lagos, 864 F.3d 320 (5th Cir. Mar. 17, 2017).pdf File: U.S. Supreme Court To Review Ex-CEO%26rsquo;s Appeal Regarding Restitution Of Legal Fees Associated With An Internal Investigation %26nbsp; file 6252 4760 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-01-22 0.3 https://www.lit-wc.aoshearman.com/siteFiles/20669/United States v. Papagno, 639 F.3d 1093 (D.C. Cir. 2011).pdf File: U.S. Supreme Court To Review Ex-CEO%26rsquo;s Appeal Regarding Restitution Of Legal Fees Associated With An Internal Investigation %26nbsp; file 6252 4760 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-01-22 0.3 https://www.lit-wc.aoshearman.com/siteFiles/20670/Lagos v. United States - Petition for Cert.pdf File: U.S. Supreme Court To Review Ex-CEO%26rsquo;s Appeal Regarding Restitution Of Legal Fees Associated With An Internal Investigation %26nbsp; file 6252 4760 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-01-22 0.3 https://www.lit-wc.aoshearman.com/siteFiles/20671/Lagos v. United States - Reply Brief.pdf File: U.S. Supreme Court To Review Ex-CEO%26rsquo;s Appeal Regarding Restitution Of Legal Fees Associated With An Internal Investigation %26nbsp; file 6252 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%26rsquo; Alleged FX Front-Running %26nbsp; 4792 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-01-29 0.3 https://www.lit-wc.aoshearman.com/siteFiles/20804/United States v. HSBC Holdings Plc, No. 118-cr-00030 (E.D.N.Y. 2018).pdf File: HSBC Enters Into Deferred Prosecution Agreement To Settle Charges Arising From Traders%26rsquo; Alleged FX Front-Running %26nbsp; file 6252 4792 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-01-29 0.3 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 File: HSBC Enters Into Deferred Prosecution Agreement To Settle Charges Arising From Traders%26rsquo; Alleged FX Front-Running %26nbsp; file 6252 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%26rsquo;s Inspection Results %26nbsp; 4793 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-01-29 0.3 https://www.lit-wc.aoshearman.com/siteFiles/20806/DOJ, Press Release, 5 Former KPMG Executives and PCAOB Employees Charged.pdf File: PCAOB And Accounting Firm Employees Charged With Misuse Of Confidential Data To Improve Firm%26rsquo;s Inspection Results %26nbsp; file 6252 4793 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-01-29 0.3 https://www.lit-wc.aoshearman.com/siteFiles/20807/SEC, Press Release, Six Accountants Charged with Using Leaked Confidential PCAOB Data.pdf File: PCAOB And Accounting Firm Employees Charged With Misuse Of Confidential Data To Improve Firm%26rsquo;s Inspection Results %26nbsp; file 6252 4793 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-01-29 0.3 https://www.lit-wc.aoshearman.com/siteFiles/20808/SEC, In the Matter of Holder et al. (KPMG).pdf File: PCAOB And Accounting Firm Employees Charged With Misuse Of Confidential Data To Improve Firm%26rsquo;s Inspection Results %26nbsp; file 6252 4793 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-01-29 0.3 https://www.lit-wc.aoshearman.com/siteFiles/20809/SEC, Sweet Order.pdf File: PCAOB And Accounting Firm Employees Charged With Misuse Of Confidential Data To Improve Firm%26rsquo;s Inspection Results %26nbsp; file 6252 4793 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-01-29 0.3 https://www.lit-wc.aoshearman.com/siteFiles/20810/United States v. Middendorf et al. (Indictment).pdf File: PCAOB And Accounting Firm Employees Charged With Misuse Of Confidential Data To Improve Firm%26rsquo;s Inspection Results %26nbsp; file 6252 4793 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-01-29 0.3 https://www.lit-wc.aoshearman.com/siteFiles/20811/United States v. Sweet (Information).pdf File: PCAOB And Accounting Firm Employees Charged With Misuse Of Confidential Data To Improve Firm%26rsquo;s Inspection Results %26nbsp; file 6252 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 %26ldquo;Spoofing%26rdquo; %26nbsp; 4823 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-02-05 0.3 https://www.lit-wc.aoshearman.com/siteFiles/20879/DOJ Press Release on Spoofing Action (Jan 29, 2018).pdf File: DOJ And CFTC Recent Actions Highlight Their Increased Focus On %26ldquo;Spoofing%26rdquo; %26nbsp; file 6252 4823 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-02-05 0.3 https://www.lit-wc.aoshearman.com/siteFiles/20880/Statement of CFTC Enforcement Director James McDonald (Jan 28, 2018).pdf File: DOJ And CFTC Recent Actions Highlight Their Increased Focus On %26ldquo;Spoofing%26rdquo; %26nbsp; file 6252 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 %26nbsp; 4845 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-02-12 0.3 https://www.lit-wc.aoshearman.com/siteFiles/20926/United States v. Rabobank, National Association, 18-cr-0614, Information (Feb. 7, 2018).pdf File: U.S. Subsidiary Of Dutch Bank Pleads Guilty To Allegations That It Conspired To Obstruct OCC Examination Of AML Program %26nbsp; file 6252 4845 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-02-12 0.3 https://www.lit-wc.aoshearman.com/siteFiles/20927/United States v. Rabobank, National Association, 18-cr-0614, Plea Agreement (Feb. 7, 2018).pdf File: U.S. Subsidiary Of Dutch Bank Pleads Guilty To Allegations That It Conspired To Obstruct OCC Examination Of AML Program %26nbsp; file 6252 4845 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-02-12 0.3 https://www.lit-wc.aoshearman.com/siteFiles/20928/DOJ Press Release - Rabobank NA Pleads Guilty, Agrees to Pay Over $360 M....pdf File: U.S. Subsidiary Of Dutch Bank Pleads Guilty To Allegations That It Conspired To Obstruct OCC Examination Of AML Program %26nbsp; file 6252 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%26rsquo;s Trading %26nbsp; 4899 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-02-26 0.3 https://www.lit-wc.aoshearman.com/siteFiles/21055/United States v. Metro, No. 16-3813 (3d Cir. Feb. 14, 2018).pdf File: Third Circuit Vacates Insider Trading Sentence Based In Part On Third-Party%26rsquo;s Trading %26nbsp; file 6252 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 %26nbsp; 4900 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-02-26 0.3 https://www.lit-wc.aoshearman.com/siteFiles/21056/Digital Realty Trust, Inc. v. Somers, No. 16-1276 (Feb. 21, 2018).pdf File: Supreme Court Finds Dodd-Frank Does Not Protect Internal Whistleblowers %26nbsp; file 6252 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 United States v. Microsoft%26nbsp; %26nbsp; 4922 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-03-05 0.3 https://www.lit-wc.aoshearman.com/siteFiles/21101/United States v. Microsoft, No. 17-2 (February 27, 2018).pdf File: The Supreme Court Hears Oral Arguments In United States v. Microsoft%26nbsp; %26nbsp; file 6252 4922 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-03-05 0.3 https://www.lit-wc.aoshearman.com/siteFiles/21102/Brief for Respondent, United States v. Microsoft.pdf File: The Supreme Court Hears Oral Arguments In United States v. Microsoft%26nbsp; %26nbsp; file 6252 4922 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-03-05 0.3 https://www.lit-wc.aoshearman.com/siteFiles/21103/Brief of Petitioner, United States v. Microsoft.pdf File: The Supreme Court Hears Oral Arguments In United States v. Microsoft%26nbsp; %26nbsp; file 6252 4922 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-03-05 0.3 https://www.lit-wc.aoshearman.com/siteFiles/21104/Petitioner's Reply Brief, United States v. Microsoft.pdf File: The Supreme Court Hears Oral Arguments In United States v. Microsoft%26nbsp; %26nbsp; file 6252 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%26rsquo;s Authority To Regulate Cryptocurrency %26nbsp; 4945 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-03-12 0.3 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 File: Eastern District Of New York Grants Preliminary Injunction In Opinion Backing CFTC%26rsquo;s Authority To Regulate Cryptocurrency %26nbsp; file 6252 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%26nbsp; %26nbsp; 4946 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-03-12 0.3 https://www.lit-wc.aoshearman.com/siteFiles/21170/Deputy Attorney Gen. Rosenstein Delivers Remarks (Nov. 29, 2017).pdf File: DOJ Announces Intent To Apply Principles From FCPA Corporate Enforcement Policy To Other White Collar Contexts%26nbsp; %26nbsp; file 6252 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 %26nbsp; 4947 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-03-12 0.3 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 File: SEC Levies $18 Million Fine On NYSE And Affiliated Exchanges For Alleged Securities Act And Exchange Act Violations %26nbsp; file 6252 4947 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-03-12 0.3 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 File: SEC Levies $18 Million Fine On NYSE And Affiliated Exchanges For Alleged Securities Act And Exchange Act Violations %26nbsp; file 6252 4947 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-03-12 0.3 https://www.lit-wc.aoshearman.com/siteFiles/21173/Press Release, NYSE to Pay $14 Million Penalty for Multiple Violations (March 6, 2018).pdf File: SEC Levies $18 Million Fine On NYSE And Affiliated Exchanges For Alleged Securities Act And Exchange Act Violations %26nbsp; file 6252 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 %26nbsp; 4998 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-03-19 0.3 https://www.lit-wc.aoshearman.com/siteFiles/21352/Wray Speech, Digital Transformation - Using Innovation to Combat the Cyber Threat (March 7, 2018).pdf File: FBI Director States That Companies That Suffer Data Breaches Will Be Treated As Victims For Law Enforcement Purposes %26nbsp; file 6252 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 %26nbsp; 5046 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-03-26 0.3 https://www.lit-wc.aoshearman.com/siteFiles/21515/Press Release, SEC Announces Its Largest-Ever Whistleblower Awards (2018).pdf File: Record-Breaking Whistleblowing Awards Continue Incentives To Report Misconduct To The SEC %26nbsp; file 6252 5046 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-03-26 0.3 https://www.lit-wc.aoshearman.com/siteFiles/21516/Law360, GC Whistleblowing And Other Implications From Bio-Rad (2018).pdf File: Record-Breaking Whistleblowing Awards Continue Incentives To Report Misconduct To The SEC %26nbsp; file 6252 5046 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-03-26 0.3 https://www.lit-wc.aoshearman.com/siteFiles/21517/Supreme Court Finds Dodd-Frank Does Not Protect Internal Whistleblowers (Feb. 27, 2018).pdf File: Record-Breaking Whistleblowing Awards Continue Incentives To Report Misconduct To The SEC %26nbsp; file 6252 5046 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-03-26 0.3 https://www.lit-wc.aoshearman.com/siteFiles/21518/California Jury Finds that Bio-Rad Violated the Whistleblower Protections of the Sarbanes-Oxley Act by Terminating Its General Counsel (Feb. 14, 2017).pdf File: Record-Breaking Whistleblowing Awards Continue Incentives To Report Misconduct To The SEC %26nbsp; file 6252 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 %26nbsp; 5090 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-04-02 0.3 https://www.lit-wc.aoshearman.com/siteFiles/21658/In the Matter of Aegis Capital Corporation, Admin. Proc. No. 3-18412 (Mar. 28, 2018).pdf File: SEC And FINRA Fine Broker-Dealer, CEO, And Compliance Officer For Failing To File Suspicious Activity Reports %26nbsp; file 6252 5090 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-04-02 0.3 https://www.lit-wc.aoshearman.com/siteFiles/21659/In the Matter of Kevin McKenna and Robert Eide, Admin. Proc. No. 3-18413 (Mar. 28, 2018).pdf File: SEC And FINRA Fine Broker-Dealer, CEO, And Compliance Officer For Failing To File Suspicious Activity Reports %26nbsp; file 6252 5090 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-04-02 0.3 https://www.lit-wc.aoshearman.com/siteFiles/21660/In the Matter of Eugene Terracciano, Admin. Proc. No. 3-18414 (Mar. 28, 2018).pdf File: SEC And FINRA Fine Broker-Dealer, CEO, And Compliance Officer For Failing To File Suspicious Activity Reports %26nbsp; file 6252 5090 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-04-02 0.3 https://www.lit-wc.aoshearman.com/siteFiles/21661/FINRA Fines Aegis Capital Corp. $550,000 for Anti-Money Laundering and Supervision Rule Violations _ FINRA.org.pdf File: SEC And FINRA Fine Broker-Dealer, CEO, And Compliance Officer For Failing To File Suspicious Activity Reports %26nbsp; file 6252 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 Criminal And Civil Charges Filed In Connection With Initial Coin Offering By Centra Tech 5117 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-04-09 0.3 https://www.lit-wc.aoshearman.com/siteFiles/21771/U.S. v. Sharma et al.pdf File: Criminal And Civil Charges Filed In Connection With Initial Coin Offering By Centra Tech file 6252 5117 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-04-09 0.3 https://www.lit-wc.aoshearman.com/siteFiles/21772/Press Release - SEC Halts Fraudulent Scheme Involving Unregistered ICO (Apr. 2, 2018).pdf File: Criminal And Civil Charges Filed In Connection With Initial Coin Offering By Centra Tech file 6252 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 %26nbsp; 5159 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-04-16 0.3 https://www.lit-wc.aoshearman.com/siteFiles/21917/SEC Whisteblower Order.pdf File: SEC, Under New Safe Harbor, Awards More Than $2.2 Million To Whistleblower Who First Reported To Another Federal Agency %26nbsp; file 6252 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%26rsquo;s Ability To Obtain Search Warrant For Electronic Data Stored Abroad %26nbsp; 5191 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-04-23 0.3 https://www.lit-wc.aoshearman.com/siteFiles/21980/United States v. Microsoft, No. 17-12, 548 U.S. ___(2018).pdf File: The Supreme Court Dismisses As Moot Microsoft Case That Had Challenged The Government%26rsquo;s Ability To Obtain Search Warrant For Electronic Data Stored Abroad %26nbsp; file 6252 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 %26nbsp; 5222 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-04-30 0.3 https://www.lit-wc.aoshearman.com/siteFiles/22027/U.S. v. Flotron, 17-cr-220 (Superseding Indictment).pdf File: Connecticut Jury Acquits Former Trader Of Spoofing-Related Charges %26nbsp; file 6252 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 %26nbsp; 5223 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-04-30 0.3 https://www.lit-wc.aoshearman.com/siteFiles/22028/In the Matter of Altaba Inc., fdba Yahoo! Inc., Admin. Proc. No. 3-18448 (April 24, 2018).pdf File: SEC Issues $35 Million Fine For Alleged Failure To Disclose Data Breach %26nbsp; file 6252 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%26rsquo;s Conviction For Securities Fraud %26nbsp; 5248 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-05-07 0.3 https://www.lit-wc.aoshearman.com/siteFiles/22062/United States v. Litvak, No. 17-1464-cr (2d. Cir. May 3, 2018).pdf File: Second Circuit Once Again Vacates Bond Trader Jesse Litvak%26rsquo;s Conviction For Securities Fraud %26nbsp; file 6252 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%26nbsp; %26nbsp; 5283 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-05-14 0.3 https://www.lit-wc.aoshearman.com/siteFiles/22113/U.S. DOJ, Policy on Coordination of Corporate Resolution Penalties (May 9, 2018).pdf File: DOJ Announces Formalization Of Policy On Corporate Resolution Penalties%26nbsp; %26nbsp; file 6252 5283 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-05-14 0.3 https://www.lit-wc.aoshearman.com/siteFiles/22114/DOJ Press Release, Deputy Attorney General Rod J. Rosenstein Delivers Remarks (May 9, 2018).pdf File: DOJ Announces Formalization Of Policy On Corporate Resolution Penalties%26nbsp; %26nbsp; file 6252 5283 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-05-14 0.3 https://www.lit-wc.aoshearman.com/siteFiles/22115/S%26S, Deputy Attorney General Rod Rosenstein Announces Revised FCPA Corpo....pdf File: DOJ Announces Formalization Of Policy On Corporate Resolution Penalties%26nbsp; %26nbsp; file 6252 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 %26nbsp; 5303 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-05-21 0.3 https://www.lit-wc.aoshearman.com/siteFiles/22173/FINRA Fines ICBCFS $5.3 Million for Anti-Money Laundering Compliance Deficiencies and Other Violations, May 16, 2018.pdf File: FINRA And SEC Fine Two Entities For Anti-Money Laundering Compliance Deficiencies And Other Violations %26nbsp; file 6252 5303 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-05-21 0.3 https://www.lit-wc.aoshearman.com/siteFiles/22174/SEC - ICBCFS Order (May 16, 2018).pdf File: FINRA And SEC Fine Two Entities For Anti-Money Laundering Compliance Deficiencies And Other Violations %26nbsp; file 6252 5303 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-05-21 0.3 https://www.lit-wc.aoshearman.com/siteFiles/22175/In the Matter of Chardan Capital Markets, LLC, Admin. Proc. No. 3-18486 (May 16, 2018).pdf File: FINRA And SEC Fine Two Entities For Anti-Money Laundering Compliance Deficiencies And Other Violations %26nbsp; file 6252 5303 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-05-21 0.3 https://www.lit-wc.aoshearman.com/siteFiles/22176/In the Matter of Jerard Basmagy, Admin. Proc. No. 3-18487 (May 16, 2018).pdf File: FINRA And SEC Fine Two Entities For Anti-Money Laundering Compliance Deficiencies And Other Violations %26nbsp; file 6252 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 %26nbsp; 5440 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-06-25 0.3 https://www.lit-wc.aoshearman.com/siteFiles/22662/Lucia.pdf File: 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 %26nbsp; file 6252 5440 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-06-25 0.3 https://www.lit-wc.aoshearman.com/siteFiles/22663/4 Enforcement - Bandimere v. SEC, 844 F.3d 1168.pdf File: 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 %26nbsp; file 6252 5440 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-06-25 0.3 https://www.lit-wc.aoshearman.com/siteFiles/22664/6 Enforcement - Freytag v CIR.pdf File: 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 %26nbsp; file 6252 5440 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-06-25 0.3 https://www.lit-wc.aoshearman.com/siteFiles/22665/7 Enforcement - Lucia v. SEC, 868 F.3d 1021.pdf File: 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 %26nbsp; file 6252 5440 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-06-25 0.3 https://www.lit-wc.aoshearman.com/siteFiles/22666/8 Enforcement - US v Germaine.pdf File: 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 %26nbsp; file 6252 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 %26nbsp; 5467 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-07-02 0.3 https://www.lit-wc.aoshearman.com/siteFiles/22734/3 Enforcement 1 - SEC Proposes Whistleblower Rule Amendments Press Release 2018-120.pdf File: SEC Proposes Amendments To Its Whistleblower Program %26nbsp; file 6252 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 Martoma And Reaffirms, But Arguably Still Weakens, Newman%26rsquo;s %26ldquo;Meaningfully Close Personal Relationship%26rdquo; Test In Insider Trading Cases Involving Tips %26nbsp; 5468 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-07-02 0.3 https://www.lit-wc.aoshearman.com/siteFiles/22735/4 Enforcement 2 - U.S. v. Martoma No. 14-3599 (2d Cir. June 25 2018).pdf File: Second Circuit Amends Martoma And Reaffirms, But Arguably Still Weakens, Newman%26rsquo;s %26ldquo;Meaningfully Close Personal Relationship%26rdquo; Test In Insider Trading Cases Involving Tips %26nbsp; file 6252 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 %26nbsp; 5469 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-07-02 0.3 https://www.lit-wc.aoshearman.com/siteFiles/22736/5 Enforcement 3 - Carpenter v. United States No. 16-402.pdf File: Supreme Court Requires Law Enforcement To Obtain Search Warrants Before Accessing Certain Cell Phone Location Data %26nbsp; file 6252 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 %26nbsp; 5495 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-07-09 0.3 https://www.lit-wc.aoshearman.com/siteFiles/22758/2 - In re KBR, Inc., AP File No. 3-18569 (S.E.C. July 2, 2018).pdf File: SEC Files Settled Action Concerning Accounting Issues That Led To A Restatement In 2014 %26nbsp; file 6252 5495 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-07-09 0.3 https://www.lit-wc.aoshearman.com/siteFiles/22759/3 - SEC KBR Press Release (July 2, 2018).pdf File: SEC Files Settled Action Concerning Accounting Issues That Led To A Restatement In 2014 %26nbsp; file 6252 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%26rsquo;s Indian Subsidiary %26nbsp; 5496 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-07-09 0.3 https://www.lit-wc.aoshearman.com/siteFiles/22760/4 - In re Beam Inc., AP File No. 3-18568 (S.E.C. July 2, 2018).pdf File: SEC Settles FCPA Allegations Concerning Allegedly Improper Payments By Company%26rsquo;s Indian Subsidiary %26nbsp; file 6252 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 %26nbsp; 5497 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-07-09 0.3 https://www.lit-wc.aoshearman.com/siteFiles/22761/5 - SEC v. Schwab, 18-cv-3942 (N.D. Cal. July 2, 2018) (Complaint).pdf File: Company Settles With The SEC For Allegedly Failing To File Required Suspicious Activity Reports %26nbsp; file 6252 5497 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-07-09 0.3 https://www.lit-wc.aoshearman.com/siteFiles/22762/6 - SEC v. Schwab, 18-cv-3942 (N.D. Cal. July 2, 2018) (Consent).pdf File: Company Settles With The SEC For Allegedly Failing To File Required Suspicious Activity Reports %26nbsp; file 6252 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%26rsquo;s FCPA Charges Against Executives Dismissed As Time-Barred %26nbsp; 5532 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-07-16 0.3 https://www.lit-wc.aoshearman.com/siteFiles/22831/SEC v. Cohen %26 Baros Order (Enforcement).pdf File: SEC%26rsquo;s FCPA Charges Against Executives Dismissed As Time-Barred %26nbsp; file 6252 5532 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-07-16 0.3 https://www.lit-wc.aoshearman.com/siteFiles/22832/Kokesh v. SEC (Enforcement).pdf File: SEC%26rsquo;s FCPA Charges Against Executives Dismissed As Time-Barred %26nbsp; file 6252 5532 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-07-16 0.3 https://www.lit-wc.aoshearman.com/siteFiles/22833/SEC v. Collyard (Enforcement).pdf File: SEC%26rsquo;s FCPA Charges Against Executives Dismissed As Time-Barred %26nbsp; file 6252 5532 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-07-16 0.3 https://www.lit-wc.aoshearman.com/siteFiles/22834/SEC v. Gentile (Enforcement).pdf File: SEC%26rsquo;s FCPA Charges Against Executives Dismissed As Time-Barred %26nbsp; file 6252 5532 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-07-16 0.3 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 File: SEC%26rsquo;s FCPA Charges Against Executives Dismissed As Time-Barred %26nbsp; file 6252 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 %26nbsp; 5603 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-07-23 0.3 https://www.lit-wc.aoshearman.com/siteFiles/23043/In the Matter of BGC Financial, L.P. (Enforcement).pdf File: SEC Announces Settled Enforcement Action Over Failure To Preserve Documents %26nbsp; file 6252 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 %26ldquo;In-and-Out%26rdquo; Traders Should Not Be Excluded From The Class Definition %26nbsp; 5647 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-07-30 0.3 https://www.lit-wc.aoshearman.com/siteFiles/23114/In re Twitter Inc. Securities Litigation Securities.pdf File: Northern District Of California Certifies Class In Securities Stock Drop Suit, Finding That %26ldquo;In-and-Out%26rdquo; Traders Should Not Be Excluded From The Class Definition %26nbsp; file 6252 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 %26nbsp; 5685 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-08-06 0.3 https://www.lit-wc.aoshearman.com/siteFiles/23187/litvak motion to dismiss.pdf File: United States Moves To Dismiss Sole Remaining Charge In Long-Running Securities Fraud Case %26nbsp; file 6252 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%26rsquo;s High Court Of Justice %26nbsp; 5717 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-08-13 0.3 https://www.lit-wc.aoshearman.com/siteFiles/23297/Scott v. US (Enforcement).pdf File: Former Forex Trader Successfully Avoids Extradition From The UK Through Appeal To UK%26rsquo;s High Court Of Justice %26nbsp; file 6252 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 %26nbsp; 6755 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-08-27 0.3 https://www.lit-wc.aoshearman.com/siteFiles/23464/FINRA News Release - Interactive Brokers.pdf File: FINRA Fines Broker-Dealer $5.5 Million For Violations Of Regulation SHO %26nbsp; file 6252 6755 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-08-27 0.3 https://www.lit-wc.aoshearman.com/siteFiles/23465/FINRA AWC No. 2014043143401.pdf File: FINRA Fines Broker-Dealer $5.5 Million For Violations Of Regulation SHO %26nbsp; file 6252 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-Lucia Stay On Pending Administrative Proceedings And Announces Rehearings For Dozens Of Previously Heard Cases %26nbsp; 6756 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-08-27 0.3 https://www.lit-wc.aoshearman.com/siteFiles/23466/SEC Order.pdf File: SEC Lifts Post-Lucia Stay On Pending Administrative Proceedings And Announces Rehearings For Dozens Of Previously Heard Cases %26nbsp; file 6252 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 %26nbsp; 6792 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-09-04 0.3 https://www.lit-wc.aoshearman.com/siteFiles/23600/U.S. v. Hoskins.pdf File: Second Circuit Limits Extraterritorial Application of FCPA %26nbsp; file 6252 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 %26nbsp; 6793 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-09-04 0.3 https://www.lit-wc.aoshearman.com/siteFiles/23601/In the Matter of Moody's Investors Service, Inc..pdf File: SEC Charges Rating Agency With Internal Controls Failures And Ratings Symbols Deficiencies %26nbsp; file 6252 6793 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-09-04 0.3 https://www.lit-wc.aoshearman.com/siteFiles/23602/In the Matter of Moody's Investors Service, Inc. (Rating Symbols).pdf File: SEC Charges Rating Agency With Internal Controls Failures And Ratings Symbols Deficiencies %26nbsp; file 6252 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 %26nbsp; 6828 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-09-17 0.3 https://www.lit-wc.aoshearman.com/siteFiles/23811/In the Matter of Crypto Asset Management, LP and Timothy Enneking.pdf File: Significant Judicial And Enforcement Developments In The Cryptocurrency Space %26nbsp; file 6252 6828 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-09-17 0.3 https://www.lit-wc.aoshearman.com/siteFiles/23812/In the Matter of TokenLot.pdf File: Significant Judicial And Enforcement Developments In The Cryptocurrency Space %26nbsp; file 6252 6828 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-09-17 0.3 https://www.lit-wc.aoshearman.com/siteFiles/23820/U.S. v. Zaslavskiy.pdf File: Significant Judicial And Enforcement Developments In The Cryptocurrency Space %26nbsp; file 6252 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 %26nbsp; 6891 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-10-01 0.3 https://www.lit-wc.aoshearman.com/siteFiles/24099/Elon Musk Settles SEC Fraud Charges; Tesla Charged With and Resolves Securities Law Charge.pdf File: Tesla, Musk Settle Tweet-Related SEC Charges %26nbsp; file 6252 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 %26nbsp; 6892 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-10-01 0.3 https://www.lit-wc.aoshearman.com/siteFiles/24100/SEC Charges Firm With Deficient Cybersecurity Procedures.pdf File: SEC Brings Enforcement Action Against Broker-Dealer For Deficient Cybersecurity Procedures %26nbsp; file 6252 6892 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-10-01 0.3 https://www.lit-wc.aoshearman.com/siteFiles/24101/In the Matter of Voya Financial Advisors, Inc..pdf File: SEC Brings Enforcement Action Against Broker-Dealer For Deficient Cybersecurity Procedures %26nbsp; file 6252 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 %26nbsp; 6922 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-10-08 0.3 https://www.lit-wc.aoshearman.com/siteFiles/24201/In the Matter of Stryker Corp., Admin. Proc. No. 3-18853.pdf File: Medical Device Manufacturer Enters Into Second FCPA Settlement In Five Years With SEC %26nbsp; file 6252 6922 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-10-08 0.3 https://www.lit-wc.aoshearman.com/siteFiles/24202/In the Matter of Stryker Corp., Admin. Proc. No. 3-15587.pdf File: Medical Device Manufacturer Enters Into Second FCPA Settlement In Five Years With SEC %26nbsp; file 6252 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 %26nbsp; 6923 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-10-08 0.3 https://www.lit-wc.aoshearman.com/siteFiles/24203/CFTC v. EOX Holdings LLC, Case No. 118-cv-08890.pdf File: CFTC Brings New Insider Trading Case In Conjunction With Announcing Insider Trading Task Force %26nbsp; file 6252 6923 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-10-08 0.3 https://www.lit-wc.aoshearman.com/siteFiles/24204/CFTC Charges Block Trade Broker with Insider Trading.pdf File: CFTC Brings New Insider Trading Case In Conjunction With Announcing Insider Trading Task Force %26nbsp; file 6252 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 %26ldquo;My Big Coin%26rdquo; Is A Commodity Under Commodity Exchange Act %26nbsp; 6924 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-10-08 0.3 https://www.lit-wc.aoshearman.com/siteFiles/24205/CFTC v. My Big Coin Pay, Inc..pdf File: District Of Massachusetts Denies Motion To Dismiss, Finds Virtual Currency %26ldquo;My Big Coin%26rdquo; Is A Commodity Under Commodity Exchange Act %26nbsp; file 6252 6924 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-10-08 0.3 https://www.lit-wc.aoshearman.com/siteFiles/24206/Federal Court Finds that Virtual Currencies Are Commodities.pdf File: District Of Massachusetts Denies Motion To Dismiss, Finds Virtual Currency %26ldquo;My Big Coin%26rdquo; Is A Commodity Under Commodity Exchange Act %26nbsp; file 6252 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 %26nbsp; 6941 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-10-15 0.3 https://www.lit-wc.aoshearman.com/siteFiles/24265/SEC v. Blockvest complaint.pdf File: SEC Obtains Temporary Restraining Order Halting Initial Coin Offering %26nbsp; file 6252 6941 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-10-15 0.3 https://www.lit-wc.aoshearman.com/siteFiles/24266/SEC v. Blockvest order.pdf File: SEC Obtains Temporary Restraining Order Halting Initial Coin Offering %26nbsp; file 6252 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 %26nbsp; 6978 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-10-22 0.3 https://www.lit-wc.aoshearman.com/siteFiles/24466/Selection of Monitors in Criminal Division Matters.pdf File: DOJ Announces Updated Policy On Selection Of Corporate Monitors %26nbsp; file 6252 6978 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-10-22 0.3 https://www.lit-wc.aoshearman.com/siteFiles/24467/Assistant Attorney General Brian A. Benczkowski Delivers Remarks at NYU School of Law Program on Corporate Compliance and Enforcement Conference on Achieving Effective Compliance.pdf File: DOJ Announces Updated Policy On Selection Of Corporate Monitors %26nbsp; file 6252 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 %26nbsp; 7039 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-11-05 0.3 https://www.lit-wc.aoshearman.com/siteFiles/24694/Kokesh v. SEC.PDF File: SEC Enforcement Division Releases Report On FY 2018, Highlighting Focus On Cyber And Efforts To Protect Retail Investors %26nbsp; file 6252 7039 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-11-05 0.3 https://www.lit-wc.aoshearman.com/siteFiles/24695/Lucia v. SEC.PDF File: SEC Enforcement Division Releases Report On FY 2018, Highlighting Focus On Cyber And Efforts To Protect Retail Investors %26nbsp; file 6252 7039 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-11-05 0.3 https://www.lit-wc.aoshearman.com/siteFiles/24696/SEC 2018 Enforcement Division Annual Report.pdf File: SEC Enforcement Division Releases Report On FY 2018, Highlighting Focus On Cyber And Efforts To Protect Retail Investors %26nbsp; file 6252 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%26rsquo;s Insider Trading Conviction %26nbsp; 7072 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-11-12 0.3 https://www.lit-wc.aoshearman.com/siteFiles/24734/United States v. Stewart, 2018 U.S. App. LEXIS 31207.pdf File: Second Circuit Court Of Appeals Reverses Investment Banker%26rsquo;s Insider Trading Conviction %26nbsp; file 6252 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 %26nbsp; 7074 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-11-12 0.3 https://www.lit-wc.aoshearman.com/siteFiles/24735/akira-kamiya-final-notice-november-2018.pdf File: Bank Of England Imposes Personal Fines On Two Individuals For Failure To Disclose Ongoing Enforcement Actions %26nbsp; file 6252 7074 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-11-12 0.3 https://www.lit-wc.aoshearman.com/siteFiles/24737/takami-onodera-final-notice-november-2018.pdf File: Bank Of England Imposes Personal Fines On Two Individuals For Failure To Disclose Ongoing Enforcement Actions %26nbsp; file 6252 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 %26nbsp; 7106 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-11-19 0.3 https://www.lit-wc.aoshearman.com/siteFiles/24802/33-10574.pdf File: ICO Issuers Settle With The SEC Over Unregistered Coin Offerings %26nbsp; file 6252 7106 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-11-19 0.3 https://www.lit-wc.aoshearman.com/siteFiles/24803/33-10575.pdf File: ICO Issuers Settle With The SEC Over Unregistered Coin Offerings %26nbsp; file 6252 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 %26nbsp; 7189 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-12-04 0.3 https://www.lit-wc.aoshearman.com/siteFiles/25042/In Re Signet Jewlers Limited.PDF File: DOJ Scales Back Yates Memo Policy For Corporate Cooperation %26nbsp; file 6252 7189 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-12-04 0.3 https://www.lit-wc.aoshearman.com/siteFiles/25043/Rosenstein Remarks at the American Conference Institute's 35th International Conference on the Foreign Corrupt Practices Act.pdf File: DOJ Scales Back Yates Memo Policy For Corporate Cooperation %26nbsp; file 6252 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 %26nbsp; 7190 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-12-04 0.3 https://www.lit-wc.aoshearman.com/siteFiles/25044/SEC v. Blockvest, LLC.pdf File: SEC Loses Bid For Preliminary Injunction Halting Initial Coin Offering After Judge Questions Whether It Involved Securities %26nbsp; file 6252 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 %26nbsp; 7191 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-12-04 0.3 https://www.lit-wc.aoshearman.com/siteFiles/25045/OFAC Designates Iran-Based Financial Facilitators of Malicious Cyber Act.pdf File: OFAC Identifies Digital Currency Addresses Of Iran-Based Financial Facilitators, Highlighting Its Focus On Sanctions Compliance In Crypto Space %26nbsp; file 6252 7191 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-12-04 0.3 https://www.lit-wc.aoshearman.com/siteFiles/25046/OFAC Digital Currency FAQs.pdf File: OFAC Identifies Digital Currency Addresses Of Iran-Based Financial Facilitators, Highlighting Its Focus On Sanctions Compliance In Crypto Space %26nbsp; file 6252 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 %26nbsp; 7231 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-12-10 0.3 https://www.lit-wc.aoshearman.com/siteFiles/25138/U.S. v. Walters.pdf File: Second Circuit Affirms Insider Trading Conviction And Vacates Restitution Order Of Sports Gambler Billy Walters %26nbsp; file 6252 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 %26nbsp; 7232 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2018-12-10 0.3 https://www.lit-wc.aoshearman.com/siteFiles/25139/CFTC v. DRW.pdf File: Following Bench Trial, Southern District Of New York Finds That CFTC Failed To Prove Artificiality And Enters Judgment For Defendants In Market Manipulation Action %26nbsp; file 6252 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 %26nbsp; 8271 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2019-01-07 0.3 https://www.lit-wc.aoshearman.com/siteFiles/26321/8. In the Matter of JP Morgan Chase Bank, N.A., Admin. Proc. File No. 3-18963 (Dec. 26, 2018).pdf File: Fourth Depositary Bank Settles SEC Allegations Of Improper Handling Of Pre-Release ADRs %26nbsp; file 6252 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 %26nbsp; 8272 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2019-01-07 0.3 https://www.lit-wc.aoshearman.com/siteFiles/26322/9. In the Matter of Hertz Global Holdings, Inc. and The Hertz Corporation, Admin. Proc. File No. 3-18965 (Dec. 31, 2018).pdf File: Rental Car Company Enters Into Settlement With The SEC Related To Alleged Accounting Errors %26nbsp; file 6252 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 %26nbsp; 8295 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2019-01-14 0.3 https://www.lit-wc.aoshearman.com/siteFiles/26414/US v Gupta (SDNY 2015).pdf File: Second Circuit Re-Affirms Insider Trading Conviction Of Rajat Gupta %26nbsp; file 6252 8295 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2019-01-14 0.3 https://www.lit-wc.aoshearman.com/siteFiles/26415/US v Gupta 747 F.3d 111.pdf File: Second Circuit Re-Affirms Insider Trading Conviction Of Rajat Gupta %26nbsp; file 6252 8295 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2019-01-14 0.3 https://www.lit-wc.aoshearman.com/siteFiles/26416/2019 Gupta Opinion.pdf File: Second Circuit Re-Affirms Insider Trading Conviction Of Rajat Gupta %26nbsp; file 6252 8295 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2019-01-14 0.3 https://www.lit-wc.aoshearman.com/siteFiles/26417/U.S. v. Newman.pdf File: Second Circuit Re-Affirms Insider Trading Conviction Of Rajat Gupta %26nbsp; file 6252 8295 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2019-01-14 0.3 https://www.lit-wc.aoshearman.com/siteFiles/26418/Dirks v SEC.PDF File: Second Circuit Re-Affirms Insider Trading Conviction Of Rajat Gupta %26nbsp; file 6252 8295 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2019-01-14 0.3 https://www.lit-wc.aoshearman.com/siteFiles/26419/Salman v US.PDF File: Second Circuit Re-Affirms Insider Trading Conviction Of Rajat Gupta %26nbsp; file 6252 8295 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2019-01-14 0.3 https://www.lit-wc.aoshearman.com/siteFiles/26420/United States v Martoma.pdf File: Second Circuit Re-Affirms Insider Trading Conviction Of Rajat Gupta %26nbsp; file 6252 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 %26nbsp; 8324 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2019-01-29 0.3 https://www.lit-wc.aoshearman.com/siteFiles/26624/2019 Risk Monitoring and Examination Priorities Letter.pdf File: FINRA Issues 2019 Annual Risk Monitoring and Examination Priorities Letter, Highlighting Potential Areas Of Enforcement Risk %26nbsp; file 6252 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 %26nbsp; 8342 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2019-02-11 0.3 https://www.lit-wc.aoshearman.com/siteFiles/26754/SEC v Scoville (2019).pdf File: Tenth Circuit Holds That Dodd-Frank Act Granted SEC Extraterritorial Authority %26nbsp; file 6252 8342 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2019-02-11 0.3 https://www.lit-wc.aoshearman.com/siteFiles/26755/SEC v. Traffic Monsoon (2017).pdf File: Tenth Circuit Holds That Dodd-Frank Act Granted SEC Extraterritorial Authority %26nbsp; file 6252 8342 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2019-02-11 0.3 https://www.lit-wc.aoshearman.com/siteFiles/26756/Morrison v National Australia Bank (2010).pdf File: Tenth Circuit Holds That Dodd-Frank Act Granted SEC Extraterritorial Authority %26nbsp; file 6252 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 %26nbsp; 8353 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2019-02-19 0.3 https://www.lit-wc.aoshearman.com/siteFiles/26805/SEC v. Blockvest LLC.pdf File: After Second Look, Judge Grants SEC Bid for Preliminary Injunction Halting Initial Coin Offering %26nbsp; file 6252 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 %26nbsp; 8354 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2019-02-19 0.3 https://www.lit-wc.aoshearman.com/siteFiles/26806/Coburn and Schwartz indictment.pdf File: Technology Services Company Enters Into FCPA Settlement With SEC, While SEC And DOJ Charge Two Former Executives With FCPA Violations %26nbsp; file 6252 8354 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2019-02-19 0.3 https://www.lit-wc.aoshearman.com/siteFiles/26807/SEC v. Coburn and Schwartz.pdf File: Technology Services Company Enters Into FCPA Settlement With SEC, While SEC And DOJ Charge Two Former Executives With FCPA Violations %26nbsp; file 6252 8354 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2019-02-19 0.3 https://www.lit-wc.aoshearman.com/siteFiles/26808/SEC order re Cognizant.pdf File: Technology Services Company Enters Into FCPA Settlement With SEC, While SEC And DOJ Charge Two Former Executives With FCPA Violations %26nbsp; file 6252 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 %26nbsp; 8400 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2019-03-04 0.3 https://www.lit-wc.aoshearman.com/siteFiles/27030/In the Matter of Krishna Mohan.pdf File: CFTC Settles Spoofing Charges Against Trader Without Monetary Penalty %26nbsp; file 6252 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 %26nbsp; 8424 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2019-03-11 0.3 https://www.lit-wc.aoshearman.com/siteFiles/27056/Bogucki Indictment.pdf File: Federal Judge Acquits Former FX Trader on Charges Related to Alleged Front-Running and Price Manipulation %26nbsp; file 6252 8424 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2019-03-11 0.3 https://www.lit-wc.aoshearman.com/siteFiles/27057/Bogucki Order.pdf File: Federal Judge Acquits Former FX Trader on Charges Related to Alleged Front-Running and Price Manipulation %26nbsp; file 6252 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 %26amp; 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 %26nbsp; 8425 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2019-03-11 0.3 https://www.lit-wc.aoshearman.com/siteFiles/27058/Kolorit Plea.pdf File: Telecommunications Provider %26amp; 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 %26nbsp; file 6252 8425 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2019-03-11 0.3 https://www.lit-wc.aoshearman.com/siteFiles/27059/MTS DPA.pdf File: Telecommunications Provider %26amp; 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 %26nbsp; file 6252 8425 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2019-03-11 0.3 https://www.lit-wc.aoshearman.com/siteFiles/27060/MTS Order.pdf File: Telecommunications Provider %26amp; 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 %26nbsp; file 6252 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 %26nbsp; 8426 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2019-03-11 0.3 https://www.lit-wc.aoshearman.com/siteFiles/27061/CFTC Enforcement Advisory 030619.pdf File: CFTC Announces Further Incentives For Self-Reporting, Cooperation For Unregistered Individuals And Entities, While Highlighting Focus On Foreign Corruption %26nbsp; file 6252 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 %26nbsp; 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 %26nbsp; 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 %26nbsp; 8493 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2019-04-01 0.3 https://www.lit-wc.aoshearman.com/siteFiles/27334/2019-04 Whistleblower Order.pdf File: SEC Awards Total Of $50 Million To Two Whistleblowers In A Single Action, While Denying Five Other Claimants %26nbsp; file 6252 8493 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2019-04-01 0.3 https://www.lit-wc.aoshearman.com/siteFiles/27335/SEC Whistleblower Press Release.pdf File: SEC Awards Total Of $50 Million To Two Whistleblowers In A Single Action, While Denying Five Other Claimants %26nbsp; file 6252 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 %26nbsp; 8494 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2019-04-01 0.3 https://www.lit-wc.aoshearman.com/siteFiles/27336/FMC, SEC Admin. Proc. 3-19126.pdf File: DOJ And SEC Announce Resolution Of FCPA Investigation That Spanned Over Fifteen Countries With NPA, Monitor, And Over $231 Million In Disgorgement And Fines %26nbsp; file 6252 8494 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2019-04-01 0.3 https://www.lit-wc.aoshearman.com/siteFiles/27337/DOJ Press Release, FMC.pdf File: DOJ And SEC Announce Resolution Of FCPA Investigation That Spanned Over Fifteen Countries With NPA, Monitor, And Over $231 Million In Disgorgement And Fines %26nbsp; file 6252 8494 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2019-04-01 0.3 https://www.lit-wc.aoshearman.com/siteFiles/27338/FMC, DOJ NPA.pdf File: DOJ And SEC Announce Resolution Of FCPA Investigation That Spanned Over Fifteen Countries With NPA, Monitor, And Over $231 Million In Disgorgement And Fines %26nbsp; file 6252 8494 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2019-04-01 0.3 https://www.lit-wc.aoshearman.com/siteFiles/27339/SEC Press Release, FMC.pdf File: DOJ And SEC Announce Resolution Of FCPA Investigation That Spanned Over Fifteen Countries With NPA, Monitor, And Over $231 Million In Disgorgement And Fines %26nbsp; file 6252 8494 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2019-04-01 0.3 https://www.lit-wc.aoshearman.com/siteFiles/27340/Selection of Monitors in Criminal Division Matters1.pdf File: DOJ And SEC Announce Resolution Of FCPA Investigation That Spanned Over Fifteen Countries With NPA, Monitor, And Over $231 Million In Disgorgement And Fines %26nbsp; file 6252 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 %26ldquo;Willfulness%26rdquo; Requirement For Investment Advisers Act Violations, In Decision With Possible Ramifications For SEC Sanction Authority %26nbsp; 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 %26nbsp; 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 %26nbsp; 8713 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2019-06-10 0.3 https://www.lit-wc.aoshearman.com/siteFiles/28220/U.S. Securities and Exchange Commission v. Kik Interactive Inc., No. 19-....pdf File: SEC Files Contested Complaint Over Unregistered $100 Million Initial Coin Offering, In Case That Could Clarify Application Of Registration Requirements To Cryptocurrency %26nbsp; file 6252 8713 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2019-06-10 0.3 https://www.lit-wc.aoshearman.com/siteFiles/28221/Wells Submission of Kik Interactive Inc. and the Kin Ecosystem Foundatio....pdf File: SEC Files Contested Complaint Over Unregistered $100 Million Initial Coin Offering, In Case That Could Clarify Application Of Registration Requirements To Cryptocurrency %26nbsp; file 6252 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 %26ldquo;Voluntary%26rdquo; %26nbsp; 8714 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2019-06-10 0.3 https://www.lit-wc.aoshearman.com/siteFiles/28222/Press Release_ SEC Awards $3 Million to Joint Whistleblowers.pdf File: SEC Awards $3 Million To Two Whistleblowers Who First Made Internal Reports, Even Though Reporting To SEC Was Not %26ldquo;Voluntary%26rdquo; %26nbsp; file 6252 8714 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2019-06-10 0.3 https://www.lit-wc.aoshearman.com/siteFiles/28223/SEC Order-File No. 2019-7.pdf File: SEC Awards $3 Million To Two Whistleblowers Who First Made Internal Reports, Even Though Reporting To SEC Was Not %26ldquo;Voluntary%26rdquo; %26nbsp; file 6252 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 %26nbsp; 8785 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2019-07-01 0.3 https://www.lit-wc.aoshearman.com/siteFiles/28320/1172000-1172896-technipfmc_dpa_final_signed_0.pdf File: French Oil And Gas Company And U.S. Subsidiary Fined $296 Million Over Alleged Foreign Bribery Schemes Involving Brazil And Iraq %26nbsp; file 6252 8785 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2019-07-01 0.3 https://www.lit-wc.aoshearman.com/siteFiles/28321/1172000-1172896-technip_usa_plea_agreement_final_signed_0.pdf File: French Oil And Gas Company And U.S. Subsidiary Fined $296 Million Over Alleged Foreign Bribery Schemes Involving Brazil And Iraq %26nbsp; file 6252 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 %26nbsp; 8813 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2019-07-08 0.3 https://www.lit-wc.aoshearman.com/siteFiles/28333/SEC.gov _ Statement Regarding Offers of Settlement.pdf File: In Significant Shift, SEC Will Consider Offers Of Settlement And Collateral Waiver Applications Together %26nbsp; file 6252 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 %26nbsp; 8846 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2019-07-16 0.3 https://www.lit-wc.aoshearman.com/siteFiles/28459/FINRA Regulatory Notice 19-23, FINRA Investigations.pdf File: FINRA Releases New Guidance On Extraordinary Cooperation Credit %26nbsp; file 6252 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 %26nbsp; 8909 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2019-07-29 0.3 https://www.lit-wc.aoshearman.com/siteFiles/28744/Non-Prosecution Agreement, Microsoft Magyarország Számítástechnikai Szolgáltató és Kereskedelmi Kft.pdf File: Technology Company Resolves DOJ And SEC FCPA Allegations, With Hungary Subsidiary Entering Three-Year, Monitor-Free NPA %26nbsp; file 6252 8909 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2019-07-29 0.3 https://www.lit-wc.aoshearman.com/siteFiles/28745/In the Matter of Microsoft Corporation.pdf File: Technology Company Resolves DOJ And SEC FCPA Allegations, With Hungary Subsidiary Entering Three-Year, Monitor-Free NPA %26nbsp; file 6252 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 McDonnell v. United States And Declines To Extend The Potential Scope Of Liability In FCPA Cases %26nbsp; 8958 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2019-08-12 0.3 https://www.lit-wc.aoshearman.com/siteFiles/28819/1187000-1187068-18-1725_complete_opn.pdf File: Second Circuit Limits The Application Of McDonnell v. United States And Declines To Extend The Potential Scope Of Liability In FCPA Cases %26nbsp; file 6252 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 %26nbsp; 9037 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2019-09-09 0.3 https://www.lit-wc.aoshearman.com/siteFiles/28964/OCC_CFTC_Order.pdf File: Options Clearing Corporation Enters Into Settlements With SEC And CFTC Over Risk Management Policies %26nbsp; file 6252 9037 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2019-09-09 0.3 https://www.lit-wc.aoshearman.com/siteFiles/28965/OCC_SEC_Order.pdf File: Options Clearing Corporation Enters Into Settlements With SEC And CFTC Over Risk Management Policies %26nbsp; file 6252 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 %26nbsp; 9054 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2019-09-16 0.3 https://www.lit-wc.aoshearman.com/siteFiles/28987/8_28_19 EDNY Order.pdf File: Reargument Sought On Whether Shareholders Can Be Victims Of FCPA Violation For Purposes Of Criminal Restitution %26nbsp; file 6252 9054 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2019-09-16 0.3 https://www.lit-wc.aoshearman.com/siteFiles/28988/9_6_19 Motion for Reconsideration.pdf File: Reargument Sought On Whether Shareholders Can Be Victims Of FCPA Violation For Purposes Of Criminal Restitution %26nbsp; file 6252 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 %26nbsp; 9074 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2019-09-23 0.3 https://www.lit-wc.aoshearman.com/siteFiles/29078/DOJ Indictment.pdf File: DOJ Charges Three Traders Under RICO In Alleged Spoofing Scheme %26nbsp; file 6252 9074 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2019-09-23 0.3 https://www.lit-wc.aoshearman.com/siteFiles/29079/CFTC Complaint.pdf File: DOJ Charges Three Traders Under RICO In Alleged Spoofing Scheme %26nbsp; file 6252 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 %26nbsp; 9173 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2019-10-16 0.3 https://www.lit-wc.aoshearman.com/siteFiles/29265/Memo-for-Release-10-8-19.pdf File: DOJ Introduces Guidance Over Inability-to-Pay Claims %26nbsp; file 6252 9173 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2019-10-16 0.3 https://www.lit-wc.aoshearman.com/siteFiles/29266/Assistant Attorney General Brian A. Benczkowski Delivers Remarks at the Global Investigations Review Live New York _ OPA _ Department of Justice.pdf File: DOJ Introduces Guidance Over Inability-to-Pay Claims %26nbsp; file 6252 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 Kraft%26nbsp; Unwound Due To Ineffectuality Of Confidentiality Provisions, Setting Up Possible Key Legal Rulings On Market Manipulation %26nbsp; 9220 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2019-11-04 0.3 https://www.lit-wc.aoshearman.com/siteFiles/29419/10.23 minute order.pdf File: CFTC Settlement In Kraft%26nbsp; Unwound Due To Ineffectuality Of Confidentiality Provisions, Setting Up Possible Key Legal Rulings On Market Manipulation %26nbsp; file 6252 9220 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2019-11-04 0.3 https://www.lit-wc.aoshearman.com/siteFiles/29418/CFTC v. Kraft Foods Industries Inc. 7th Cir.pdf File: CFTC Settlement In Kraft%26nbsp; Unwound Due To Ineffectuality Of Confidentiality Provisions, Setting Up Possible Key Legal Rulings On Market Manipulation %26nbsp; file 6252 9220 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2019-11-04 0.3 https://www.lit-wc.aoshearman.com/siteFiles/29420/CFTC v. DRW Investments.pdf File: CFTC Settlement In Kraft%26nbsp; Unwound Due To Ineffectuality Of Confidentiality Provisions, Setting Up Possible Key Legal Rulings On Market Manipulation %26nbsp; file 6252 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 %26nbsp; 9229 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2019-11-11 0.3 https://www.lit-wc.aoshearman.com/siteFiles/29493/SEC v. Collectors Coffee et al. (SDNY 2019).pdf File: Issuer And CEO Charged By The SEC With Fraud And Whistleblower Protection Law Violations For Allegedly Impeding Investor Complaints %26nbsp; file 6252 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 %26nbsp; 9315 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2019-12-02 0.3 https://www.lit-wc.aoshearman.com/siteFiles/29654/16_2019.11.22_dpa_with_attachments_0.pdf File: Korean Engineering Company Fined $75 Million Over Alleged Foreign Bribery Scheme In Brazil %26nbsp; file 6252 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 %26nbsp; 9328 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2019-12-09 0.3 https://www.lit-wc.aoshearman.com/siteFiles/29666/Assistant Attorney General Brian A. Benczkowski Delivers Remarks at the ACI's FCPA Conference.pdf File: Assistant Attorney General Brian A. Benczkowski Reviews FCPA Enforcement In 2019 %26nbsp; file 6252 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 %26nbsp; 9329 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2019-12-09 0.3 https://www.lit-wc.aoshearman.com/siteFiles/29667/United States v. Calderon.pdf File: Second Circuit Reverses $18.5 Million Restitution Order For Lack Of Proximate Cause %26nbsp; file 6252 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 %26nbsp; 9405 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2020-01-06 0.3 https://www.lit-wc.aoshearman.com/siteFiles/29769/VSD Policy.pdf File: DOJ Offers Non-Prosecution Agreements And No-Fines For Self-Reporting Export Control And Sanctions Violations %26nbsp; file 6252 9405 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2020-01-06 0.3 https://www.lit-wc.aoshearman.com/siteFiles/29770/Department of Justice Revises and Re-Issues Export Control and Sanctions Enforcement Policy for Business Organizations _ OPA _ Department of Justice.pdf File: DOJ Offers Non-Prosecution Agreements And No-Fines For Self-Reporting Export Control And Sanctions Violations %26nbsp; file 6252 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 %26nbsp; 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 %26nbsp; 9804 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2020-03-02 0.3 https://www.lit-wc.aoshearman.com/siteFiles/30228/Alstom - Hoskins Opinion.pdf File: Judge Grants Post-Trial Acquittal On FCPA Counts %26nbsp; file 6252 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 %26nbsp; 9814 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2020-03-10 0.3 https://www.lit-wc.aoshearman.com/siteFiles/30264/1. SEC Settlement Order (Cardinal Health).pdf File: SEC Reaches $8.8 Million Settlement With Pharmaceutical Company To Resolve Allegations Of FCPA Violations %26nbsp; file 6252 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 Liu v. SEC to Determine Whether the SEC Can Seek Disgorgement in Judicial Proceedings %26nbsp; 9818 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2020-03-11 0.3 https://www.lit-wc.aoshearman.com/siteFiles/30277/2c. Brief for the Respondent1.pdf File: United States Supreme Court Hears Oral Arguments In Liu v. SEC to Determine Whether the SEC Can Seek Disgorgement in Judicial Proceedings %26nbsp; file 6252 9818 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2020-03-11 0.3 https://www.lit-wc.aoshearman.com/siteFiles/30278/2b. Brief for the Pettitioners1.pdf File: United States Supreme Court Hears Oral Arguments In Liu v. SEC to Determine Whether the SEC Can Seek Disgorgement in Judicial Proceedings %26nbsp; file 6252 9818 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2020-03-11 0.3 https://www.lit-wc.aoshearman.com/siteFiles/30279/2a. Transcript 18-1501_8n591.pdf File: United States Supreme Court Hears Oral Arguments In Liu v. SEC to Determine Whether the SEC Can Seek Disgorgement in Judicial Proceedings %26nbsp; file 6252 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%26rsquo;s Division Of Enforcement Issue Statement On Market Integrity In Wake Of COVID-19 Emergency %26nbsp; 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 %26nbsp; 9962 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2020-04-27 0.3 https://www.lit-wc.aoshearman.com/siteFiles/31715/IBK NYDFS Consent Order.pdf File: Industrial Bank Settles AML Charges With U.S. And New York State Authorities %26nbsp; file 6252 9962 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2020-04-27 0.3 https://www.lit-wc.aoshearman.com/siteFiles/31717/IBK USAO DPA.pdf File: Industrial Bank Settles AML Charges With U.S. And New York State Authorities %26nbsp; file 6252 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 %26nbsp; 9990 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2020-05-11 0.3 https://www.lit-wc.aoshearman.com/siteFiles/31806/1271000-1271323-bridgegate-supreme decision.pdf File: Supreme Court Overturns Third Circuit, Throws Out Bridgegate Convictions %26nbsp; file 6252 9990 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2020-05-11 0.3 https://www.lit-wc.aoshearman.com/siteFiles/31807/909_F.3d_550.pdf File: Supreme Court Overturns Third Circuit, Throws Out Bridgegate Convictions %26nbsp; file 6252 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 %26nbsp; 10064 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2020-06-01 0.3 https://www.lit-wc.aoshearman.com/siteFiles/31990/Memorandum1.pdf File: CFTC Announces Updated Guidance On Civil Monetary Penalties %26nbsp; file 6252 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 %26nbsp; 10089 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2020-06-08 0.3 https://www.lit-wc.aoshearman.com/siteFiles/32025/Evaluation_Corporate_Compliance_Programs_DOJ_06.2020.pdf File: DOJ Revises Guidance On Evaluation Of Corporate Compliance Programs %26nbsp; file 6252 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 Liu Upholds SEC Ability To Seek Equitable Disgorgement Of Net Profits For Return To Victims, But Indicates Limits On Broader Disgorgement Theories %26nbsp; 10121 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2020-06-23 0.3 https://www.lit-wc.aoshearman.com/siteFiles/32098/Liu v. Securities and Exchange Commission.pdf File: Supreme Court In Liu Upholds SEC Ability To Seek Equitable Disgorgement Of Net Profits For Return To Victims, But Indicates Limits On Broader Disgorgement Theories %26nbsp; file 6252 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 %26nbsp; 10139 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2020-06-29 0.3 https://www.lit-wc.aoshearman.com/siteFiles/32119/2nd Cir. Napout.pdf File: Second Circuit Upholds Jury Conviction Of Two Officials In FIFA For Honest Services Fraud, Rejecting Extraterritoriality Challenge %26nbsp; file 6252 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 %26nbsp; 10140 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2020-06-29 0.3 https://www.lit-wc.aoshearman.com/siteFiles/32120/Novartis (Charging Document).pdf File: Global Healthcare Company To Enter DPA, Pay $345 Million To DOJ And SEC, To Resolve FCPA Claims %26nbsp; file 6252 10140 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2020-06-29 0.3 https://www.lit-wc.aoshearman.com/siteFiles/32121/Novartis (DPA).pdf File: Global Healthcare Company To Enter DPA, Pay $345 Million To DOJ And SEC, To Resolve FCPA Claims %26nbsp; file 6252 10140 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2020-06-29 0.3 https://www.lit-wc.aoshearman.com/siteFiles/32122/Novartis (SEC Order).pdf File: Global Healthcare Company To Enter DPA, Pay $345 Million To DOJ And SEC, To Resolve FCPA Claims %26nbsp; file 6252 10140 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2020-06-29 0.3 https://www.lit-wc.aoshearman.com/siteFiles/32123/Novartis Greece (Charging Document).pdf File: Global Healthcare Company To Enter DPA, Pay $345 Million To DOJ And SEC, To Resolve FCPA Claims %26nbsp; file 6252 10140 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2020-06-29 0.3 https://www.lit-wc.aoshearman.com/siteFiles/32124/Novartis Greece (DPA).pdf File: Global Healthcare Company To Enter DPA, Pay $345 Million To DOJ And SEC, To Resolve FCPA Claims %26nbsp; file 6252 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 %26nbsp; 10275 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2020-08-11 0.3 https://www.lit-wc.aoshearman.com/siteFiles/32494/OFAC Enforcement Release.pdf File: Pennsylvania Manufacturing Company To Pay $824,314 To OFAC After Self-Appointing Two Monitors %26nbsp; file 6252 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 %26nbsp; 10281 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2020-08-17 0.3 https://www.lit-wc.aoshearman.com/siteFiles/32504/CFTC_Interactive Brokers.pdf File: CFTC, SEC, And FINRA Settle AML-Related Charges With Broker-Dealer %26nbsp; file 6252 10281 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2020-08-17 0.3 https://www.lit-wc.aoshearman.com/siteFiles/32505/SEC_Interactive Brokers.pdf File: CFTC, SEC, And FINRA Settle AML-Related Charges With Broker-Dealer %26nbsp; file 6252 10281 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2020-08-17 0.3 https://www.lit-wc.aoshearman.com/siteFiles/32506/FINRA_Interactive-brokers-awc-081020.pdf File: CFTC, SEC, And FINRA Settle AML-Related Charges With Broker-Dealer %26nbsp; file 6252 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 %26nbsp; 10294 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2020-08-24 0.3 https://www.lit-wc.aoshearman.com/siteFiles/32534/DOJ_DPA_2020.08.19.pdf File: DOJ Issues FCPA Opinion Procedure Approving Legitimate Payments To Government Instrumentalities %26nbsp; file 6252 10294 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2020-08-24 0.3 https://www.lit-wc.aoshearman.com/siteFiles/32535/DOJ_Deputy_Assistant_Atty_Miner_Remarks_20180725.pdf File: DOJ Issues FCPA Opinion Procedure Approving Legitimate Payments To Government Instrumentalities %26nbsp; file 6252 10294 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2020-08-24 0.3 https://www.lit-wc.aoshearman.com/siteFiles/32536/DOJ_FCPA_Opinion_Procedure_20200814.pdf File: DOJ Issues FCPA Opinion Procedure Approving Legitimate Payments To Government Instrumentalities %26nbsp; file 6252 10294 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2020-08-24 0.3 https://www.lit-wc.aoshearman.com/siteFiles/32537/CFTC_Order_2020.08.19_Compliance.pdf File: DOJ Issues FCPA Opinion Procedure Approving Legitimate Payments To Government Instrumentalities %26nbsp; file 6252 10294 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2020-08-24 0.3 https://www.lit-wc.aoshearman.com/siteFiles/32538/CFTC_Order_2020.08.19_Spoofing.pdf File: DOJ Issues FCPA Opinion Procedure Approving Legitimate Payments To Government Instrumentalities %26nbsp; file 6252 10294 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2020-08-24 0.3 https://www.lit-wc.aoshearman.com/siteFiles/32539/CFTC_Order_2020.08.19_False_Statements.pdf File: DOJ Issues FCPA Opinion Procedure Approving Legitimate Payments To Government Instrumentalities %26nbsp; file 6252 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 %26nbsp; 10599 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2020-10-19 0.3 https://www.lit-wc.aoshearman.com/siteFiles/33030/SEC.gov _ SEC Adds Clarity, Efficiency and Transparency to Its Successful Whistleblower Award Program.pdf File: SEC Amends Its Whistleblower Award Program Rules %26nbsp; file 6252 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 %26nbsp; 10617 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2020-11-02 0.3 https://www.lit-wc.aoshearman.com/siteFiles/33111/Deferred Prosecution Agreement.pdf File: 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 %26nbsp; file 6252 10617 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2020-11-02 0.3 https://www.lit-wc.aoshearman.com/siteFiles/33112/SEC Order1.pdf File: 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 %26nbsp; file 6252 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%26rsquo;s %26ldquo;Internal Accounting Controls%26rdquo; Provisions %26nbsp; 10657 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2020-11-30 0.3 https://www.lit-wc.aoshearman.com/siteFiles/33568/Roger Ng - Motion to Dismiss.pdf File: Motion To Dismiss Filed In Eastern District Of New York Case Could Provide Opportunity For Clarity On Scope Of FCPA%26rsquo;s %26ldquo;Internal Accounting Controls%26rdquo; Provisions %26nbsp; file 6252 10657 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2020-11-30 0.3 https://www.lit-wc.aoshearman.com/siteFiles/33569/Andeavor LLC SEC Order.pdf File: Motion To Dismiss Filed In Eastern District Of New York Case Could Provide Opportunity For Clarity On Scope Of FCPA%26rsquo;s %26ldquo;Internal Accounting Controls%26rdquo; Provisions %26nbsp; file 6252 10657 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2020-11-30 0.3 https://www.lit-wc.aoshearman.com/siteFiles/33570/Statement of Commissioners Hester Perice and Elad Roisman - Andeavor LLC.pdf File: Motion To Dismiss Filed In Eastern District Of New York Case Could Provide Opportunity For Clarity On Scope Of FCPA%26rsquo;s %26ldquo;Internal Accounting Controls%26rdquo; Provisions %26nbsp; file 6252 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 %26nbsp; 10674 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2020-12-07 0.3 https://www.lit-wc.aoshearman.com/siteFiles/33626/12_3 CFTC Order.pdf File: Energy Company Agrees To Pay Over $150 Million To DOJ, CFTC, And Foreign Regulator To Resolve Coordinated FCPA Allegations %26nbsp; file 6252 10674 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2020-12-07 0.3 https://www.lit-wc.aoshearman.com/siteFiles/33627/DOJ Policy on Coordination of Corporate Resolution Penalties.pdf File: Energy Company Agrees To Pay Over $150 Million To DOJ, CFTC, And Foreign Regulator To Resolve Coordinated FCPA Allegations %26nbsp; file 6252 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 %26nbsp; 10675 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2020-12-07 0.3 https://www.lit-wc.aoshearman.com/siteFiles/33628/Cheesecake Factory Cease and Desist_34-90565.pdf File: Public Company Settles with SEC Over Misleading COVID-19-Related Disclosures %26nbsp; file 6252 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 %26nbsp; 10698 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2020-12-21 0.3 https://www.lit-wc.aoshearman.com/siteFiles/33759/33-10906.pdf File: Broker-Dealer Settles SEC Claims Alleging Violations Of The Duty Of Best Execution And Related Misstatements %26nbsp; file 6252 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%26rsquo;s Veto Expands SEC%26rsquo;s Disgorgement Authority And Reforms Anti-Money Laundering Laws %26nbsp; 10731 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2021-01-12 0.3 https://www.lit-wc.aoshearman.com/siteFiles/33936/Kokesh v. Securities and Exchange Commission.pdf File: National Defense Authorization Act Passed Over President Trump%26rsquo;s Veto Expands SEC%26rsquo;s Disgorgement Authority And Reforms Anti-Money Laundering Laws %26nbsp; file 6252 10731 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2021-01-12 0.3 https://www.lit-wc.aoshearman.com/siteFiles/33937/Liu v. Securities and Exchange Commission1.pdf File: National Defense Authorization Act Passed Over President Trump%26rsquo;s Veto Expands SEC%26rsquo;s Disgorgement Authority And Reforms Anti-Money Laundering Laws %26nbsp; file 6252 10731 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2021-01-12 0.3 https://www.lit-wc.aoshearman.com/siteFiles/33938/NDAA_HR6395enr.pdf File: National Defense Authorization Act Passed Over President Trump%26rsquo;s Veto Expands SEC%26rsquo;s Disgorgement Authority And Reforms Anti-Money Laundering Laws %26nbsp; file 6252 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 Supreme Court Vacates And Remands Blaszczak Insider Trading Decision, Providing Opportunity For Further Clarity By Second Circuit 10776 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2021-01-25 0.3 https://www.lit-wc.aoshearman.com/siteFiles/34041/US Opposition Motion - Blazsczak.pdf File: Supreme Court Vacates And Remands Blaszczak Insider Trading Decision, Providing Opportunity For Further Clarity By Second Circuit file 6252 10776 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2021-01-25 0.3 https://www.lit-wc.aoshearman.com/siteFiles/34038/Blaszczak 2d Cir Decision.pdf File: Supreme Court Vacates And Remands Blaszczak Insider Trading Decision, Providing Opportunity For Further Clarity By Second Circuit file 6252 10776 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2021-01-25 0.3 https://www.lit-wc.aoshearman.com/siteFiles/34043/20200904124859016_No. 20-__ PetitionForAWritOfCertiorari.pdf File: Supreme Court Vacates And Remands Blaszczak Insider Trading Decision, Providing Opportunity For Further Clarity By Second Circuit file 6252 10776 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2021-01-25 0.3 https://www.lit-wc.aoshearman.com/siteFiles/34042/1271000-1271323-bridgegate-supreme decision1.pdf File: Supreme Court Vacates And Remands Blaszczak Insider Trading Decision, Providing Opportunity For Further Clarity By Second Circuit file 6252 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 AMG Capital %26nbsp; 10815 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2021-02-02 0.3 https://www.lit-wc.aoshearman.com/siteFiles/34175/2020.08.28 Memorandum and Opinion - In re Sanctuary Belize, 2020 U.S. Dist. LEXIS 156439.pdf File: FTC Secures Large Restitution Award In Shadow Of Pending AMG Capital %26nbsp; file 6252 10815 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2021-02-02 0.3 https://www.lit-wc.aoshearman.com/siteFiles/34176/2021.01.12 Final Order.pdf File: FTC Secures Large Restitution Award In Shadow Of Pending AMG Capital %26nbsp; file 6252 10815 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2021-02-02 0.3 https://www.lit-wc.aoshearman.com/siteFiles/34177/2021.01.21 FTC Press Release.pdf File: FTC Secures Large Restitution Award In Shadow Of Pending AMG Capital %26nbsp; file 6252 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 %26nbsp; 10816 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2021-02-02 0.3 https://www.lit-wc.aoshearman.com/siteFiles/34178/SEC Article Source.pdf File: SEC Invites Comment On Possible SEC Staff Participation In Undercover Fraud-Detection Program %26nbsp; file 6252 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%26rsquo;s Extra-Territorial Reach %26nbsp; 10843 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2021-02-10 0.3 https://www.lit-wc.aoshearman.com/siteFiles/34263/uksc-2018-0215-judgment.pdf File: United Kingdom Supreme Court Limits The Serious Fraud Office%26rsquo;s Extra-Territorial Reach %26nbsp; file 6252 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 %26nbsp; 10864 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2021-02-17 0.3 https://www.lit-wc.aoshearman.com/siteFiles/34286/Statement of Acting Chair Allison Herren Lee on Contingent Settlement Offers.pdf File: 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 %26nbsp; file 6252 10864 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2021-02-17 0.3 https://www.lit-wc.aoshearman.com/siteFiles/34287/SEC.gov _ Statement of Commissioners Hester M. Peirce and Elad L. Roisman on Contingent Settlement Offers.pdf File: 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 %26nbsp; file 6252 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 %26nbsp; 10865 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2021-02-17 0.3 https://www.lit-wc.aoshearman.com/siteFiles/34288/SEC.gov _ Statement of Acting Chair Allison Herren Lee on Empowering Enforcement to Better Protect Investors.pdf File: SEC Reauthorizes Senior Enforcement Officials To Issue Formal Investigation Orders %26nbsp; file 6252 10865 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2021-02-17 0.3 https://www.lit-wc.aoshearman.com/siteFiles/34289/SEC Delegation of Authority Final Rule 34-60448.pdf File: SEC Reauthorizes Senior Enforcement Officials To Issue Formal Investigation Orders %26nbsp; file 6252 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 %26nbsp; 10866 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2021-02-17 0.3 https://www.lit-wc.aoshearman.com/siteFiles/34290/US v. Ahn - DOJ Information (filed 2.5.2021).pdf File: DOJ And SEC Charge Biotech Consultant With Insider Trading, But SEC Passes On Seeking Disgorgement %26nbsp; file 6252 10866 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2021-02-17 0.3 https://www.lit-wc.aoshearman.com/siteFiles/34291/SEC v. Ahn - SEC Complaint (filed 2.5.2021).pdf File: DOJ And SEC Charge Biotech Consultant With Insider Trading, But SEC Passes On Seeking Disgorgement %26nbsp; file 6252 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%26rsquo;s 2021 Examination Priorities Reveal Few Surprises %26nbsp; 10937 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2021-03-08 0.3 https://www.lit-wc.aoshearman.com/siteFiles/34502/SEC Division of Examinations Announces 2021 Examination Priorities.pdf File: SEC%26rsquo;s 2021 Examination Priorities Reveal Few Surprises %26nbsp; file 6252 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 %26nbsp; 10938 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2021-03-08 0.3 https://www.lit-wc.aoshearman.com/siteFiles/34503/SEC Announces Enforcement Task Force Focused on Climate and ESG Issues.pdf File: SEC Announces New Enforcement Task Force On Climate And ESG %26nbsp; file 6252 10938 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2021-03-08 0.3 https://www.lit-wc.aoshearman.com/siteFiles/34504/Enhancing Focus on the SEC Enhanced Climate Change Efforts.pdf File: SEC Announces New Enforcement Task Force On Climate And ESG %26nbsp; file 6252 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%26rsquo;s Whistleblowing Statistics Continue To Set Records Through Pandemic %26nbsp; 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 %26nbsp; 10999 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2021-03-22 0.3 https://www.lit-wc.aoshearman.com/siteFiles/35069/SEC.gov _ Moving Forward Together – Enforcement for Everyone.pdf File: SEC Commissioner Calls For Revisiting Approach To Corporate Penalties %26nbsp; file 6252 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%26rsquo;s History %26nbsp; 11047 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2021-04-19 0.3 https://www.lit-wc.aoshearman.com/siteFiles/35305/SEC Order2.pdf File: SEC Announces Second-Largest Whistleblower Award In Program%26rsquo;s History %26nbsp; file 6252 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%26rsquo;s Ability To Obtain Restitution And Disgorgement %26nbsp; 11063 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2021-04-27 0.3 https://www.lit-wc.aoshearman.com/siteFiles/35381/Decision - AMG Capital v. FTC.pdf File: Supreme Court Rolls Back FTC%26rsquo;s Ability To Obtain Restitution And Disgorgement %26nbsp; file 6252 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 %26pound;30 Million In Saudi Corruption Case %26nbsp; 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 %26ldquo;Exceeding Authorized Access%26rdquo; In The Computer Fraud And Abuse Act %26nbsp; 11184 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2021-06-07 0.3 https://www.lit-wc.aoshearman.com/siteFiles/35842/Van Buren v. United States.pdf File: Supreme Court Resolves Circuit Split On Meaning Of %26ldquo;Exceeding Authorized Access%26rdquo; In The Computer Fraud And Abuse Act %26nbsp; file 6252 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 %26nbsp; 11250 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2021-07-06 0.3 https://www.lit-wc.aoshearman.com/siteFiles/36152/Robinhood - FINRA Letter of Acceptance, Waiver, and Consent.pdf File: FINRA Orders Record $70 Million Financial Penalty For Systemic Supervisory Failures %26nbsp; file 6252 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 %26nbsp; 11271 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2021-07-19 0.3 https://www.lit-wc.aoshearman.com/siteFiles/36223/SEC Settlement.pdf File: SEC Announces Settled Enforcement Action In Connection With SPAC Business Combination %26nbsp; file 6252 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 %26nbsp; 11287 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2021-07-28 0.3 https://www.lit-wc.aoshearman.com/siteFiles/36295/In the matter of UBS Financial Services.pdf File: Financial Institution Settles SEC Claims Related To Allegedly Unsuitable Investments In Complex Exchange-Traded Product %26nbsp; file 6252 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 %26nbsp; 11296 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2021-08-03 0.3 https://www.lit-wc.aoshearman.com/siteFiles/36338/Trevor Milton SEC Complaint.pdf File: DOJ And SEC File Securities Fraud Charges Against Founder Of Company Acquired By A SPAC %26nbsp; file 6252 11296 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2021-08-03 0.3 https://www.lit-wc.aoshearman.com/siteFiles/36339/Trevor Milton Indictment.pdf File: DOJ And SEC File Securities Fraud Charges Against Founder Of Company Acquired By A SPAC %26nbsp; file 6252 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 Cryptocurrency Derivatives Exchange Reaches $100 Million Settlement With CFTC, FinCEN %26nbsp; 11313 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2021-08-19 0.3 https://www.lit-wc.aoshearman.com/siteFiles/36393/HDR Global Trading FinCen Penalty.pdf File: Cryptocurrency Derivatives Exchange Reaches $100 Million Settlement With CFTC, FinCEN %26nbsp; file 6252 11313 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2021-08-19 0.3 https://www.lit-wc.aoshearman.com/siteFiles/36392/HDR Global Trading CFTC Order.pdf File: Cryptocurrency Derivatives Exchange Reaches $100 Million Settlement With CFTC, FinCEN %26nbsp; file 6252 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 %26ldquo;First-Of-Its-Kind%26rdquo; Action Over %26ldquo;Decentralized Finance%26rdquo; Technology, Alleging Fraud And Unregistered Sales Of Securities %26nbsp; 11314 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2021-08-19 0.3 https://www.lit-wc.aoshearman.com/siteFiles/36394/DeFi Money Market Cease %26 Desist Order.pdf File: SEC Settles %26ldquo;First-Of-Its-Kind%26rdquo; Action Over %26ldquo;Decentralized Finance%26rdquo; Technology, Alleging Fraud And Unregistered Sales Of Securities %26nbsp; file 6252 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 %26nbsp; 11319 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2021-08-25 0.3 https://www.lit-wc.aoshearman.com/siteFiles/36426/SEC v. Matthew Panuwat.pdf File: SEC Brings Insider Trading Charges Based On Novel Theory %26nbsp; file 6252 11319 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2021-08-25 0.3 https://www.lit-wc.aoshearman.com/siteFiles/36427/SEC Press Release.pdf File: SEC Brings Insider Trading Charges Based On Novel Theory %26nbsp; file 6252 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 %26nbsp; 11357 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2021-09-28 0.3 https://www.lit-wc.aoshearman.com/siteFiles/37586/Scottsdale SEC decision.pdf File: SEC Vacates $1.6 Million In FINRA Fines Against Broker-Dealer And Officers %26nbsp; file 6252 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 %26nbsp; 11369 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2021-10-05 0.3 https://www.lit-wc.aoshearman.com/siteFiles/37654/CFTC Order.pdf File: CFTC Fines Crypto Exchange That Offered Margin Trading For Failing To Register As FCM, Prompting Calls For Further Rulemaking From One Commissioner %26nbsp; file 6252 11369 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2021-10-05 0.3 https://www.lit-wc.aoshearman.com/siteFiles/37655/CFTC Press Release.pdf File: CFTC Fines Crypto Exchange That Offered Margin Trading For Failing To Register As FCM, Prompting Calls For Further Rulemaking From One Commissioner %26nbsp; file 6252 11369 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2021-10-05 0.3 https://www.lit-wc.aoshearman.com/siteFiles/37656/Concurring Statement of Commissioner Dawn D. Stump Regarding Enforcement Action Against Payward Ventures, Inc..pdf File: CFTC Fines Crypto Exchange That Offered Margin Trading For Failing To Register As FCM, Prompting Calls For Further Rulemaking From One Commissioner %26nbsp; file 6252 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 %26nbsp; 11377 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2021-10-12 0.3 https://www.lit-wc.aoshearman.com/siteFiles/37728/EN1_Global Investigations Review - DOJ will.pdf File: Department Of Justice Announces Enhanced Efforts Towards White-Collar Crime Enforcement And Creation Of National Cryptocurrency Enforcement Team %26nbsp; file 6252 11377 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2021-10-12 0.3 https://www.lit-wc.aoshearman.com/siteFiles/37729/EN2_Deputy Attorney General Lisa O. Monaco Announces National Cryptocurrency Enforcement Team _ OPA _ Department of Justice.pdf File: Department Of Justice Announces Enhanced Efforts Towards White-Collar Crime Enforcement And Creation Of National Cryptocurrency Enforcement Team %26nbsp; file 6252 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 %26nbsp; 11382 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2021-10-18 0.3 https://www.lit-wc.aoshearman.com/siteFiles/37775/SEC.gov _ Remarks at SEC Speaks 2021_101321.pdf File: Comments At SEC Speaks Conference Suggest Heightened Bar For Cooperation Credit, Return Of Admissions Policy, And Increased Autonomy For Front-Line SEC Enforcement Staff %26nbsp; file 6252 11382 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2021-10-18 0.3 https://www.lit-wc.aoshearman.com/siteFiles/37776/SEC.gov _ PLI Broker_Dealer Regulation and Enforcement 2021_100621.pdf File: Comments At SEC Speaks Conference Suggest Heightened Bar For Cooperation Credit, Return Of Admissions Policy, And Increased Autonomy For Front-Line SEC Enforcement Staff %26nbsp; file 6252 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 %26nbsp; 11387 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2021-10-25 0.3 https://www.lit-wc.aoshearman.com/siteFiles/37806/ENF1a_1431000-1431883-cease_letter_redacted.pdf File: New York AG Demands Crypto Platforms Cease Operations %26nbsp; file 6252 11387 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2021-10-25 0.3 https://www.lit-wc.aoshearman.com/siteFiles/37807/ENF1b_1431000-1431883-informational_letter_redacted.pdf File: New York AG Demands Crypto Platforms Cease Operations %26nbsp; file 6252 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 %26nbsp; 11388 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2021-10-25 0.3 https://www.lit-wc.aoshearman.com/siteFiles/37808/ENF2_CFTC Press Release.pdf File: CFTC Awards Record $200 Million To Whistleblower %26nbsp; file 6252 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 %26nbsp; 11402 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2021-11-02 0.3 https://www.lit-wc.aoshearman.com/siteFiles/37827/ENF1_Deputy Attorney General Lisa O. Monaco Gives Keynote Address at ABA's 36th National Institute on White Collar Crime _ OPA _ Department of Justice.pdf File: DOJ Announces Major Policy Changes To How It Investigates And Prosecutes Corporate Crime, Signaling A Return To Tougher Enforcement And Individual Accountability %26nbsp; file 6252 11402 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2021-11-02 0.3 https://www.lit-wc.aoshearman.com/siteFiles/37828/ENF2_DOJ DAG Memo Regarding Corporate Enforcement - 10-28-2021.pdf File: DOJ Announces Major Policy Changes To How It Investigates And Prosecutes Corporate Crime, Signaling A Return To Tougher Enforcement And Individual Accountability %26nbsp; file 6252 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 %26nbsp; 11447 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2021-11-24 0.3 https://www.lit-wc.aoshearman.com/siteFiles/37976/ENF1_McKinsey - SEC Order.pdf File: Consulting Firm Settles Allegations That It Had Inadequate Procedures For Handling Of MNPI Between Units %26nbsp; file 6252 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 %26nbsp; 11448 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2021-11-24 0.3 https://www.lit-wc.aoshearman.com/siteFiles/37977/ENF2_FY 2021 Results - SEC Addendum.pdf File: SEC Enforcement In FY 2021 Included Significant Actions In Traditional And Emerging Areas And Over $1 Billion In Whistleblower Awards %26nbsp; file 6252 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 %26nbsp; 11486 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2021-12-20 0.3 https://www.lit-wc.aoshearman.com/siteFiles/38257/JPM SEC Settlement Order.pdf File: 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 %26nbsp; file 6252 11486 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2021-12-20 0.3 https://www.lit-wc.aoshearman.com/siteFiles/38258/JPM CFTC Settlement Order.pdf File: 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 %26nbsp; file 6252 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 %26nbsp; 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 %26nbsp; 11503 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2022-01-10 0.3 https://www.lit-wc.aoshearman.com/siteFiles/38516/ENF_SEC Order.pdf File: Company Acquired By SPAC Agrees To Pay $125 Million To Settle SEC Probe Months After CEO Was Charged With Fraud %26nbsp; file 6252 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 %26nbsp; 11517 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2022-01-18 0.3 https://www.lit-wc.aoshearman.com/siteFiles/38565/ENF_2022-01-14 Order Denying [dckt 26_0].pdf File: California District Court Allows Novel SEC Insider Trading Theory To Proceed %26nbsp; file 6252 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 %26nbsp; 11566 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2022-01-31 0.3 https://www.lit-wc.aoshearman.com/siteFiles/38772/RE_1459000-1459269-connolly.pdf File: Second Circuit Reverses Conviction Of Two Traders Accused Of LIBOR Rigging Scheme, Finding Insufficient Evidence Of False Or Fraudulent Statements %26nbsp; file 6252 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 %26nbsp; 11678 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2022-02-23 0.3 https://www.lit-wc.aoshearman.com/siteFiles/39005/EN_SEC Order.pdf File: Cryptocurrency Company Fined $100M In Novel Action Concerning Registration Obligations For Crypto Lending Product %26nbsp; file 6252 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 %26nbsp; 11702 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2022-02-28 0.3 https://www.lit-wc.aoshearman.com/siteFiles/39082/ENa_Havrilla - Complaint.pdf File: SEC Announces Settled Insider Trading Action Against Former Director Of Investor Relations %26nbsp; file 6252 11702 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2022-02-28 0.3 https://www.lit-wc.aoshearman.com/siteFiles/39083/ENb_Havrilla - Consent Judgment.pdf File: SEC Announces Settled Insider Trading Action Against Former Director Of Investor Relations %26nbsp; file 6252 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 %26nbsp; 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 %26nbsp; 11709 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2022-03-07 0.3 https://www.lit-wc.aoshearman.com/siteFiles/39110/EN_Attorney General Merrick B. Garland Delivers Remarks to the ABA Institute on White Collar Crime _ OPA _ Department of Justice.pdf File: U.S. Attorney General Announces Task Force To Target Russian Sanctions And Additional Resources For White Collar Enforcement %26nbsp; file 6252 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 %26nbsp; 11734 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2022-03-21 0.3 https://www.lit-wc.aoshearman.com/siteFiles/39298/EN_FINRA.org _ Regulatory Notice 22-10.pdf File: FINRA Issues Regulatory Notice On The Scope Of Supervisor Liability For Chief Compliance Officers %26nbsp; file 6252 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 %26nbsp; 11748 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2022-04-04 0.3 https://www.lit-wc.aoshearman.com/siteFiles/39369/EN-a_SEC SPAC Proposed Rules.pdf File: SEC Proposes New SPAC Disclosure Rules %26nbsp; file 6252 11748 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2022-04-04 0.3 https://www.lit-wc.aoshearman.com/siteFiles/39370/EN-b_SEC SPAC Fact Sheet.pdf File: SEC Proposes New SPAC Disclosure Rules %26nbsp; file 6252 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%26rsquo;s Dissent Highlights Challenges In Responding To Whistleblowers %26nbsp; 11771 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2022-04-18 0.3 https://www.lit-wc.aoshearman.com/siteFiles/39467/ENa_Order in the Matter of David Hansen.pdf File: SEC Commissioner%26rsquo;s Dissent Highlights Challenges In Responding To Whistleblowers %26nbsp; file 6252 11771 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2022-04-18 0.3 https://www.lit-wc.aoshearman.com/siteFiles/39468/ENb_Dissent Statement in the Matter of David Hansen.pdf File: SEC Commissioner%26rsquo;s Dissent Highlights Challenges In Responding To Whistleblowers %26nbsp; file 6252 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 %26nbsp; 11782 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2022-04-25 0.3 https://www.lit-wc.aoshearman.com/siteFiles/39491/EN_SEC Order1.pdf File: SEC Announces Settled Enforcement Action Alleging Management Of Earnings Figures To Meet Analyst Estimates %26nbsp; file 6252 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 %26nbsp; 11802 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2022-05-03 0.3 https://www.lit-wc.aoshearman.com/siteFiles/39581/EN_Consent-Order_ea2022-010.pdf File: OCC Issues Consent Order Against A Digital Bank %26nbsp; file 6252 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 %26nbsp; 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 %26nbsp; 11851 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2022-05-23 0.3 https://www.lit-wc.aoshearman.com/siteFiles/39721/EN1a_AGI DOJ Information.pdf File: U.S. Investment Firm Enters $6 Billion Parallel Resolutions With DOJ And SEC Over Allegations Of Fraudulent Conduct By Employees And Related Control Failures %26nbsp; file 6252 11851 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2022-05-23 0.3 https://www.lit-wc.aoshearman.com/siteFiles/39722/EN1b_AGI DOJ Plea Agreement.pdf File: U.S. Investment Firm Enters $6 Billion Parallel Resolutions With DOJ And SEC Over Allegations Of Fraudulent Conduct By Employees And Related Control Failures %26nbsp; file 6252 11851 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2022-05-23 0.3 https://www.lit-wc.aoshearman.com/siteFiles/39723/EN1c_AGI SEC Order.pdf File: U.S. Investment Firm Enters $6 Billion Parallel Resolutions With DOJ And SEC Over Allegations Of Fraudulent Conduct By Employees And Related Control Failures %26nbsp; file 6252 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 %26nbsp; 11852 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2022-05-23 0.3 https://www.lit-wc.aoshearman.com/siteFiles/39724/EN2_Jarkesy Decision (Fifth Circuit).pdf File: Fifth Circuit Holds SEC Administrative Proceedings Are Unconstitutional %26nbsp; file 6252 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%26rsquo;s First Enforcement Resolution %26nbsp; 11861 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2022-06-02 0.3 https://www.lit-wc.aoshearman.com/siteFiles/39771/EN1_SEC Order.pdf File: SEC ESG Fines Investment Adviser For Alleged ESG Misstatements In ESG Task Force%26rsquo;s First Enforcement Resolution %26nbsp; file 6252 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 %26nbsp; 11862 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2022-06-02 0.3 https://www.lit-wc.aoshearman.com/siteFiles/39772/EN2a_Plea Agreement - District of CT.pdf File: Glencore Pleads Guilty And Agrees To $1.1 Billion Penalty To Resolve Manipulation And Foreign Corruption Allegations %26nbsp; file 6252 11862 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2022-06-02 0.3 https://www.lit-wc.aoshearman.com/siteFiles/39773/EN2b_Plea Agreement - SDNY.pdf File: Glencore Pleads Guilty And Agrees To $1.1 Billion Penalty To Resolve Manipulation And Foreign Corruption Allegations %26nbsp; file 6252 11862 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2022-06-02 0.3 https://www.lit-wc.aoshearman.com/siteFiles/39774/EN2c_CFTC Order.pdf File: Glencore Pleads Guilty And Agrees To $1.1 Billion Penalty To Resolve Manipulation And Foreign Corruption Allegations %26nbsp; file 6252 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 %26nbsp; 11901 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2022-06-23 0.3 https://www.lit-wc.aoshearman.com/siteFiles/39944/EN1_SEC Order1.pdf File: SEC Brings Action Against Investment Advisers For Allegedly Misleading Robo-Adviser Clients About Hidden Fees %26nbsp; file 6252 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 %26nbsp; 11902 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2022-06-23 0.3 https://www.lit-wc.aoshearman.com/siteFiles/39945/EN2_Western International Securities, Inc.,...pdf File: SEC Brings Its First Regulation Best Interest Enforcement Action %26nbsp; file 6252 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 %26nbsp; 11919 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2022-07-05 0.3 https://www.lit-wc.aoshearman.com/siteFiles/39986/EN-705_finra-letter-of-acceptance-waiver-and-consent-no-2019061652404.pdf File: FINRA Fines Broker-Dealer $9 Million For Allegedly Attempting To Influence The Market For Offered Securities %26nbsp; file 6252 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 %26ldquo;Scheme Liability%26rdquo; Requires Conduct Beyond Misstatements And Omissions %26nbsp; 11945 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2022-07-27 0.3 https://www.lit-wc.aoshearman.com/siteFiles/40168/EN1_1511000-1511994-rio tinto.pdf File: Second Circuit Rejects SEC Request To Revisit Holding That %26ldquo;Scheme Liability%26rdquo; Requires Conduct Beyond Misstatements And Omissions %26nbsp; file 6252 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 %26nbsp; 11946 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2022-07-27 0.3 https://www.lit-wc.aoshearman.com/siteFiles/40169/EN2a_SEC v. Wahi Complaint.pdf File: SEC And DOJ Bring First Ever Charges For Cryptocurrency Insider Trading Tipping Scheme %26nbsp; file 6252 11946 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2022-07-27 0.3 https://www.lit-wc.aoshearman.com/siteFiles/40170/EN2b_US v. Wahi Indictment.pdf File: SEC And DOJ Bring First Ever Charges For Cryptocurrency Insider Trading Tipping Scheme %26nbsp; file 6252 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 %26nbsp; 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 %26nbsp; 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 %26nbsp; 12011 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2022-09-15 0.3 https://www.lit-wc.aoshearman.com/siteFiles/40496/EN_1527000-1527803-secvperceptiveadvisors.pdf File: SEC Brings Enforcement Action Against Investment Advisor For Allegedly Failing To Disclose Conflicts Of Interest In SPACs Into Which It Invested Client Funds %26nbsp; file 6252 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 %26nbsp; 12016 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2022-09-29 0.3 https://www.lit-wc.aoshearman.com/siteFiles/40568/RE1a_Oppenheimer.pdf File: SEC Brings Actions Against Underwriters In First-Ever Municipal Bond Disclosure Cases %26nbsp; file 6252 12016 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2022-09-29 0.3 https://www.lit-wc.aoshearman.com/siteFiles/40569/RE1b_TD.pdf File: SEC Brings Actions Against Underwriters In First-Ever Municipal Bond Disclosure Cases %26nbsp; file 6252 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 %26nbsp; 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 %26nbsp; 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 %26nbsp; 12045 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2022-10-31 0.3 https://www.lit-wc.aoshearman.com/siteFiles/40697/EN_DOE_ResultsFY22_AddendumA100722 (1).pdf File: CFTC Releases Its Annual Enforcement Results %26nbsp; file 6252 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 %26nbsp; 12074 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2022-11-21 0.3 https://www.lit-wc.aoshearman.com/siteFiles/40757/EN_SEC FY221.pdf File: SEC Announces Year-End Enforcement Results, Emphasizing Record-Setting Penalty Awards %26nbsp; file 6252 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 %26nbsp; 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%26rsquo;s Corporate Enforcement Policy %26nbsp; 12130 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2023-02-02 0.3 https://www.lit-wc.aoshearman.com/siteFiles/41010/EN_Speech - Assistant Attorney General Kenneth A. Polite, Jr. Delivers Remarks on Revisions to the Criminal Division’s Corporate Enforcement Policy.pdf File: DOJ Announces Revisions To The Criminal Division%26rsquo;s Corporate Enforcement Policy %26nbsp; file 6252 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%26rsquo;s Alleged Failure To Track Information About Workplace Misconduct Relevant To Risk Factor Disclosures About Employee Retention %26nbsp; 12152 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2023-02-13 0.3 https://www.lit-wc.aoshearman.com/siteFiles/41069/EN-a_SEC Order- Activision Blizzard Inc.pdf File: SEC Brings Enforcement Action Over Company%26rsquo;s Alleged Failure To Track Information About Workplace Misconduct Relevant To Risk Factor Disclosures About Employee Retention %26nbsp; file 6252 12152 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2023-02-13 0.3 https://www.lit-wc.aoshearman.com/siteFiles/41070/EN-b_Commissioner Hester M. Peirce dissent- In re Activision Blizzard.pdf File: SEC Brings Enforcement Action Over Company%26rsquo;s Alleged Failure To Track Information About Workplace Misconduct Relevant To Risk Factor Disclosures About Employee Retention %26nbsp; file 6252 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%26rsquo;s September 15, 2022, Memorandum %26nbsp; 12167 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2023-02-27 0.3 https://www.lit-wc.aoshearman.com/siteFiles/41110/EN1a_usao_voluntary_self-disclosure_policy_0.pdf File: United States Department Of Justice Issues Voluntary Self-Disclosure Policy Pursuant To Deputy Attorney General%26rsquo;s September 15, 2022, Memorandum %26nbsp; file 6252 12167 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2023-02-27 0.3 https://www.lit-wc.aoshearman.com/siteFiles/41111/EN1b_Damian Williams and Breon Peace Announc...pdf File: United States Department Of Justice Issues Voluntary Self-Disclosure Policy Pursuant To Deputy Attorney General%26rsquo;s September 15, 2022, Memorandum %26nbsp; file 6252 12167 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2023-02-27 0.3 https://www.lit-wc.aoshearman.com/siteFiles/41112/EN1c_2022.09.15_ccag_memo_0.pdf File: United States Department Of Justice Issues Voluntary Self-Disclosure Policy Pursuant To Deputy Attorney General%26rsquo;s September 15, 2022, Memorandum %26nbsp; file 6252 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%26rsquo;s For Public Disclosure Violations Related To The Board%26rsquo;s Exercise Of Discretion Respecting The Former CEO%26rsquo;s Termination And Charged The Former CEO For Fraud %26nbsp; 12168 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2023-02-27 0.3 https://www.lit-wc.aoshearman.com/siteFiles/41113/EN2a_SEC Order McDonald's and CEO.pdf File: SEC Charged McDonald%26rsquo;s For Public Disclosure Violations Related To The Board%26rsquo;s Exercise Of Discretion Respecting The Former CEO%26rsquo;s Termination And Charged The Former CEO For Fraud %26nbsp; file 6252 12168 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2023-02-27 0.3 https://www.lit-wc.aoshearman.com/siteFiles/41114/EN2b_SEC Press Release McDonald's and CEO.pdf File: SEC Charged McDonald%26rsquo;s For Public Disclosure Violations Related To The Board%26rsquo;s Exercise Of Discretion Respecting The Former CEO%26rsquo;s Termination And Charged The Former CEO For Fraud %26nbsp; file 6252 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 %26nbsp; 12189 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2023-03-23 0.3 https://www.lit-wc.aoshearman.com/siteFiles/41230/EN1a_PR_Sterling Bancorp, Inc. to Plead Guilty ...pdf File: Sterling Bancorp Pleads Guilty To Criminal Securities Fraud %26nbsp; file 6252 12189 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2023-03-23 0.3 https://www.lit-wc.aoshearman.com/siteFiles/41231/EN1b_sterling_bancorp_inc._plea_agreement_0.pdf File: Sterling Bancorp Pleads Guilty To Criminal Securities Fraud %26nbsp; file 6252 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 %26nbsp; 12190 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2023-03-23 0.3 https://www.lit-wc.aoshearman.com/siteFiles/41232/EN2a_DOJ Press Release.pdf File: DOJ And SEC Charge Individual For Insider Trading Through Use Of 10b5-1 Trading Plans %26nbsp; file 6252 12190 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2023-03-23 0.3 https://www.lit-wc.aoshearman.com/siteFiles/41233/EN2b_peizer_indictment_1_0.pdf File: DOJ And SEC Charge Individual For Insider Trading Through Use Of 10b5-1 Trading Plans %26nbsp; file 6252 12190 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2023-03-23 0.3 https://www.lit-wc.aoshearman.com/siteFiles/41234/EN2c_Polite's Speech at ABA.pdf File: DOJ And SEC Charge Individual For Insider Trading Through Use Of 10b5-1 Trading Plans %26nbsp; file 6252 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 %26nbsp; 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 %26nbsp; 12217 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2023-04-17 0.3 https://www.lit-wc.aoshearman.com/siteFiles/41336/EN1a_Vale complaint.pdf File: Brazilian Mining Company To Pay $55.9 Million To Settle SEC Charges Of Misleading ESG Disclosures %26nbsp; file 6252 12217 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2023-04-17 0.3 https://www.lit-wc.aoshearman.com/siteFiles/41337/EN1b_Vale settlement letter from SEC.pdf File: Brazilian Mining Company To Pay $55.9 Million To Settle SEC Charges Of Misleading ESG Disclosures %26nbsp; file 6252 12217 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2023-04-17 0.3 https://www.lit-wc.aoshearman.com/siteFiles/41338/EN1c_Vale settlement letter from Vale.pdf File: Brazilian Mining Company To Pay $55.9 Million To Settle SEC Charges Of Misleading ESG Disclosures %26nbsp; file 6252 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 %26nbsp; 12218 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2023-04-17 0.3 https://www.lit-wc.aoshearman.com/siteFiles/41339/EN2_Binance Complaint.pdf File: CFTC Charges Digital Asset Exchange And Its Founder With Violating The Commodity Exchange Act And Commission Regulations %26nbsp; file 6252 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 %26nbsp; 12219 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2023-04-17 0.3 https://www.lit-wc.aoshearman.com/siteFiles/41340/EN3_21-86 Axon Enterprise, Inc. v. Federal Trade Commission.pdf File: Supreme Court Holds That Structural Challenges To Agency Administrative Proceedings May Be Brought Directly In Federal Court %26nbsp; file 6252 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 %26nbsp; 12249 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2023-05-08 0.3 https://www.lit-wc.aoshearman.com/siteFiles/41555/ENa_Murray- Supreme Court Petition.pdf File: Supreme Court To Review Second Circuit Decision On Whistleblower Retaliation %26nbsp; file 6252 12249 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2023-05-08 0.3 https://www.lit-wc.aoshearman.com/siteFiles/41556/ENb_Murray v. UBS- Brief in Opposition.pdf File: Supreme Court To Review Second Circuit Decision On Whistleblower Retaliation %26nbsp; file 6252 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 %26nbsp; 12269 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2023-05-31 0.3 https://www.lit-wc.aoshearman.com/siteFiles/41643/EN1_Settlement Order.pdf File: Dutch Company Settles Alleged FCPA Violations With SEC For $62M %26nbsp; file 6252 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 %26nbsp; 12270 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2023-05-31 0.3 https://www.lit-wc.aoshearman.com/siteFiles/41644/EN2a_Percoco v. United States.pdf File: Supreme Court And First Circuit Issue Decisions Reversing White Collar Convictions, Cautioning Against Prosecutorial Overreach In Honest Services Fraud Cases %26nbsp; file 6252 12270 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2023-05-31 0.3 https://www.lit-wc.aoshearman.com/siteFiles/41645/EN2b_U.S. v. Abdelaziz.pdf File: Supreme Court And First Circuit Issue Decisions Reversing White Collar Convictions, Cautioning Against Prosecutorial Overreach In Honest Services Fraud Cases %26nbsp; file 6252 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 %26nbsp; 12282 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2023-06-05 0.3 https://www.lit-wc.aoshearman.com/siteFiles/41659/EN_United States v. SuperValu Inc. .pdf File: Supreme Court Clarifies Scienter Standard For False Claims Act Liability %26nbsp; file 6252 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 %26nbsp; 12285 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2023-06-12 0.3 https://www.lit-wc.aoshearman.com/siteFiles/41686/EN1_SEC Order2.pdf File: Investment Adviser Fined $1.4 Million For Failure To Disclose SPAC Conflicts %26nbsp; file 6252 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%26rsquo;s Unduly Delayed Prosecution %26nbsp; 12286 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2023-06-12 0.3 https://www.lit-wc.aoshearman.com/siteFiles/41687/EN2_Memorandum and Order.pdf File: FCPA Charges Dismissed Due To DOJ%26rsquo;s Unduly Delayed Prosecution %26nbsp; file 6252 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 %26nbsp; 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 %26nbsp; 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 %26nbsp; 12335 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2023-07-31 0.3 https://www.lit-wc.aoshearman.com/siteFiles/42947/EN_Securities_and_Exchange_Commis.pdf File: New York District Court Decides Significant Cryptocurrency Case, Holding That Whether Cryptocurrency Is A Security Turns On When And How It Was Sold %26nbsp; file 6252 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 Ripple%26nbsp; Ruling, Continuing Uncertainty On How Securities Law Applies To Cryptocurrencies 12363 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2023-08-07 0.3 https://www.lit-wc.aoshearman.com/siteFiles/43010/EN_Securities and Exchange Commission v Terraform Labs Pte Ltd.pdf File: In Denying Motion To Dismiss In Terraform Cryptocurrency Case, New York Federal Judge Rejects Key Aspects Of Ripple%26nbsp; Ruling, Continuing Uncertainty On How Securities Law Applies To Cryptocurrencies file 6252 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 %26nbsp; 12376 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2023-08-15 0.3 https://www.lit-wc.aoshearman.com/siteFiles/43057/ENa_DPA.pdf File: Corficolombiana Pays $80M To Resolve Bribery Probes %26nbsp; file 6252 12376 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2023-08-15 0.3 https://www.lit-wc.aoshearman.com/siteFiles/43058/ENb_SEC - Order.pdf File: Corficolombiana Pays $80M To Resolve Bribery Probes %26nbsp; file 6252 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 %26nbsp; 12391 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2023-09-06 0.3 https://www.lit-wc.aoshearman.com/siteFiles/44685/ENa_SEC Order - 3M.pdf File: SEC Fines International Conglomerate $6.5 Million For FCPA Violations Related To Client Travel And Hospitality Expenses %26nbsp; file 6252 12391 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2023-09-06 0.3 https://www.lit-wc.aoshearman.com/siteFiles/44686/ENb_SEC.gov _ SEC Charges 3M with Foreign Corrupt Practices Act Violations Relating to China Subsidiary.pdf File: SEC Fines International Conglomerate $6.5 Million For FCPA Violations Related To Client Travel And Hospitality Expenses %26nbsp; file 6252 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 %26nbsp; 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 %26nbsp; 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 %26nbsp; 13411 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2023-10-09 0.3 https://www.lit-wc.aoshearman.com/siteFiles/44814/EN3_SEC.gov _ SEC Sweep into Marketing Rule...pdf File: Nine Investment Firms Fined By The SEC For Marketing Rule Violations %26nbsp; file 6252 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 %26nbsp; 13412 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2023-10-09 0.3 https://www.lit-wc.aoshearman.com/siteFiles/44815/EN4_SEC - Stoner Cats 2LLC.pdf File: SEC Sues Company For Unregistered Offerings Of NFTs %26nbsp; file 6252 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%26amp;A %26nbsp; 13421 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2023-10-09 0.3 https://www.lit-wc.aoshearman.com/siteFiles/44824/EN5_Office of Public Affairs _ Deputy Attorney General Lisa O. Monaco Announces New Safe Harbor Policy for Voluntary Self-Disclosures Made in Conne.pdf File: DOJ Announces Safe Harbor For Companies That Self-Disclose Misconduct Discovered During M%26amp;A %26nbsp; file 6252 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 %26nbsp; 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 %26nbsp; 13454 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2023-11-06 0.3 https://www.lit-wc.aoshearman.com/siteFiles/44942/RE_Complaint.pdf File: SEC Brings Groundbreaking Claims Against Company For Fraud Relating To Data Breach %26nbsp; file 6252 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%26rsquo;s Use Of Stock Buyback Plans That SEC Alleged Failed To Comply With Rule 10b5-1 13465 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2023-11-20 0.3 https://www.lit-wc.aoshearman.com/siteFiles/44994/ENa_In re Charter Communications (Order).pdf File: SEC Announces $25 Million Enforcement Action Over Company%26rsquo;s Use Of Stock Buyback Plans That SEC Alleged Failed To Comply With Rule 10b5-1 file 6252 13465 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2023-11-20 0.3 https://www.lit-wc.aoshearman.com/siteFiles/44995/ENb_SEC - The SEC’s Swiss Army Statute - Statement on Charter Communications, Inc.pdf File: SEC Announces $25 Million Enforcement Action Over Company%26rsquo;s Use Of Stock Buyback Plans That SEC Alleged Failed To Comply With Rule 10b5-1 file 6252 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%26rsquo;s AML-Related Violations %26nbsp; 13490 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2023-12-13 0.3 https://www.lit-wc.aoshearman.com/siteFiles/45221/RE_Binance DOJ Plea.pdf File: Historic Penalties For Cryptocurrency Exchange%26rsquo;s AML-Related Violations %26nbsp; file 6252 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 %26nbsp; 13583 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2024-02-12 0.3 https://www.lit-wc.aoshearman.com/siteFiles/45623/SCOTUS Decision on Murray.pdf File: Supreme Court Rules Whistleblowers Need Not Prove Retaliatory Intent Under SOX %26nbsp; file 6252 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 %26ldquo;Greenwashing%26rdquo; Complaint Alleging The Company Publicized Unrealistic %26ldquo;Net Zero%26rdquo; Goals For Itself To Deceptively Promote Its Products And Company As Environmentally Friendly 13615 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2024-03-25 0.3 https://www.lit-wc.aoshearman.com/siteFiles/45810/12_jbs-complaint.pdf File: New York Attorney General Sues Beef Processing Company In %26ldquo;Greenwashing%26rdquo; Complaint Alleging The Company Publicized Unrealistic %26ldquo;Net Zero%26rdquo; Goals For Itself To Deceptively Promote Its Products And Company As Environmentally Friendly file 6252 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 SEC v. Panuwat %26ndash; Northern District Of California Jury Endorses SEC%26rsquo;s %26ldquo;Shadow Trading%26rdquo; 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 2024-04-15 0.3 https://www.lit-wc.aoshearman.com/siteFiles/45992/04_Securities_and_Exchange_Commis v. Terraform.pdf File: SEC Achieves Jury Verdict In Cryptocurrency Fraud Case file 6252 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 2024-06-24 0.3 https://www.lit-wc.aoshearman.com/siteFiles/46563/CFTC Trafigura Order.pdf File: CFTC Resolves First Action for Impeding Whistleblowers Over Objections of Two Commissioners file 6252 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 2024-07-17 0.3 https://www.lit-wc.aoshearman.com/siteFiles/47638/Bribery Statute Opinion.pdf File: 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 file 6252 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 2024-07-17 0.3 https://www.lit-wc.aoshearman.com/siteFiles/47639/Jarkesy Opinion.pdf File: 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 file 6252 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%26rsquo;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- Jarkesy 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%26nbsp; 13898 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2024-08-05 0.3 https://www.lit-wc.aoshearman.com/siteFiles/47758/DOJ Guidance.pdf File: DOJ Kicks Off Whistleblower Rewards Program%26nbsp; file 6252 13898 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2024-08-05 0.3 https://www.lit-wc.aoshearman.com/siteFiles/47759/OFFICE~11.PDF File: DOJ Kicks Off Whistleblower Rewards Program%26nbsp; file 6252 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 New York Federal Judge Orders $125 Million Penalty Against Digital Asset Infrastructure Company 13908 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2024-08-12 0.3 https://www.lit-wc.aoshearman.com/siteFiles/47782/Ripple Labs Penalty Order.pdf File: New York Federal Judge Orders $125 Million Penalty Against Digital Asset Infrastructure Company file 6252 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 FINRA Beats First Post-Jarkesy Challenge 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 2024-09-17 0.3 https://www.lit-wc.aoshearman.com/siteFiles/47872/E2 - CFTC order re TOTSA TotalEnergies.pdf File: CFTC Reaches $48 Million Settlement With Swiss Energy Trader Over Attempted Gasoline Market Manipulation Scheme file 6252 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 %26ndash; 2023 FCPA Enforcement Trends And Patterns 13953 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2024-09-17 0.3 https://www.lit-wc.aoshearman.com/siteFiles/47870/E1 - Order - Blankenship v. FINRA.pdf File: Looking Back And Moving Forward %26ndash; 2023 FCPA Enforcement Trends And Patterns file 6252 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 2024-09-30 0.3 https://www.lit-wc.aoshearman.com/siteFiles/47997/[Enforcement 1] SEC - In the Matter of a.k.a Brands Holding Corp.pdf File: SEC Reaches Three Separate Resolutions In Continued Focus On Whistleblowers And Rule 21F-17(a) file 6252 13984 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2024-09-30 0.3 https://www.lit-wc.aoshearman.com/siteFiles/47998/[Enforcement 1] SEC - In the Matter of Acadia Healthcare Company Inc.pdf File: SEC Reaches Three Separate Resolutions In Continued Focus On Whistleblowers And Rule 21F-17(a) file 6252 13984 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2024-09-30 0.3 https://www.lit-wc.aoshearman.com/siteFiles/47999/[Enforcement 1] SEC - In the Matter of AppFolio, Inc.pdf File: SEC Reaches Three Separate Resolutions In Continued Focus On Whistleblowers And Rule 21F-17(a) file 6252 13984 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2024-09-30 0.3 https://www.lit-wc.aoshearman.com/siteFiles/48000/[Enforcement 1] SEC - In the Matter of GQG Partners LLC.pdf File: SEC Reaches Three Separate Resolutions In Continued Focus On Whistleblowers And Rule 21F-17(a) file 6252 13984 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2024-09-30 0.3 https://www.lit-wc.aoshearman.com/siteFiles/48001/[Enforcement 1] SEC - In the Matter of IDEX Corporation.pdf File: SEC Reaches Three Separate Resolutions In Continued Focus On Whistleblowers And Rule 21F-17(a) file 6252 13984 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2024-09-30 0.3 https://www.lit-wc.aoshearman.com/siteFiles/48002/[Enforcement 1] SEC - In the Matter of LSB Industries.pdf File: SEC Reaches Three Separate Resolutions In Continued Focus On Whistleblowers And Rule 21F-17(a) file 6252 13984 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2024-09-30 0.3 https://www.lit-wc.aoshearman.com/siteFiles/48003/[Enforcement 1] SEC - In the Matter of Nationwide Planning Associates, Inc. et al.pdf File: SEC Reaches Three Separate Resolutions In Continued Focus On Whistleblowers And Rule 21F-17(a) file 6252 13984 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2024-09-30 0.3 https://www.lit-wc.aoshearman.com/siteFiles/48004/[Enforcement 1] SEC - In the Matter of Smart for Life, Inc.pdf File: SEC Reaches Three Separate Resolutions In Continued Focus On Whistleblowers And Rule 21F-17(a) file 6252 13984 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2024-09-30 0.3 https://www.lit-wc.aoshearman.com/siteFiles/48005/[Enforcement 1] SEC - In the Matter of TransUnion.pdf File: SEC Reaches Three Separate Resolutions In Continued Focus On Whistleblowers And Rule 21F-17(a) file 6252 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%26rsquo;s Social Media Accounts 13985 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2024-09-30 0.3 https://www.lit-wc.aoshearman.com/siteFiles/48006/[Enforcement 2] 34-101198.pdf File: SEC Charges Company With Reg FD Violations For Disclosing Information Via Posts On CEO%26rsquo;s Social Media Accounts file 6252 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 2024-10-07 0.3 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 File: The SEC Files Settled Complaint Against A Public Company Director For Allegedly Hiding Close Friendship With Company Executive To Be Deemed Independent file 6252 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%26rsquo;s Jurisdiction Over Sale Of Digital Assets 14020 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2024-10-15 0.3 https://www.lit-wc.aoshearman.com/siteFiles/48070/[Enforcement 1] Crypto.com Complaint.pdf File: Crypto Exchange Challenges SEC%26rsquo;s Jurisdiction Over Sale Of Digital Assets file 6252 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%26rsquo;s Qui Tam Provision Unconstitutional 14021 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2024-10-15 0.3 https://www.lit-wc.aoshearman.com/siteFiles/48071/[Enforcement 2] United States ex rel. Zafirov .pdf File: Florida District Court Holds FCA%26rsquo;s Qui Tam Provision Unconstitutional file 6252 14021 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2024-10-15 0.3 https://www.lit-wc.aoshearman.com/siteFiles/48073/[Enforcement 2] fy2023_stats_final.pdf File: Florida District Court Holds FCA%26rsquo;s Qui Tam Provision Unconstitutional file 6252 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 2024-10-21 0.3 https://www.lit-wc.aoshearman.com/siteFiles/48098/[Enforcement 1] SEC v. DRW Complaint.pdf File: Securities And Exchange Commission Alleges That Crypto Trading Firm Sold Unregistered Securities file 6252 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%26nbsp; 14037 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2024-10-21 0.3 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 File: The Commodity Futures Trading Commission Files Its First Actions For Fraud In The Voluntary Carbon Credit Market%26nbsp; file 6252 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 2024-10-28 0.3 https://www.lit-wc.aoshearman.com/siteFiles/48118/[Enforcement] Order - Unisys Corporation (33-11323).pdf File: Undeterred By Recent Court Loss, SEC Charges Four Companies With Inadequate Cyber Disclosures In The Aftermath Of SolarWinds Breach file 6252 14058 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2024-10-28 0.3 https://www.lit-wc.aoshearman.com/siteFiles/48119/[Enforcement] Order - Mimecast (33-11322).pdf File: Undeterred By Recent Court Loss, SEC Charges Four Companies With Inadequate Cyber Disclosures In The Aftermath Of SolarWinds Breach file 6252 14058 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2024-10-28 0.3 https://www.lit-wc.aoshearman.com/siteFiles/48120/[Enforcement] Order - Check Point (33-11321).pdf File: Undeterred By Recent Court Loss, SEC Charges Four Companies With Inadequate Cyber Disclosures In The Aftermath Of SolarWinds Breach file 6252 14058 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2024-10-28 0.3 https://www.lit-wc.aoshearman.com/siteFiles/48121/[Enforcement] Order - Avaya (33-11320).pdf File: Undeterred By Recent Court Loss, SEC Charges Four Companies With Inadequate Cyber Disclosures In The Aftermath Of SolarWinds Breach file 6252 14058 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2024-10-28 0.3 https://www.lit-wc.aoshearman.com/siteFiles/48122/[Enforcement] SEC - Statement Regarding Administrative Proceedings Against SolarWind Customers (Dissent).pdf File: Undeterred By Recent Court Loss, SEC Charges Four Companies With Inadequate Cyber Disclosures In The Aftermath Of SolarWinds Breach file 6252 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 CFTC Awards $4%26nbsp;Million To Whistleblowers, Citing Disclosure Timing 14124 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2024-11-18 0.3 https://www.lit-wc.aoshearman.com/siteFiles/48180/CFTC Awards $4M to Two Whistleblowers _ CFTC.pdf File: CFTC Awards $4%26nbsp;Million To Whistleblowers, Citing Disclosure Timing file 6252 14124 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2024-11-18 0.3 https://www.lit-wc.aoshearman.com/siteFiles/48181/Whistleblower.pdf File: CFTC Awards $4%26nbsp;Million To Whistleblowers, Citing Disclosure Timing file 6252 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 2024-12-10 0.3 https://www.lit-wc.aoshearman.com/siteFiles/48232/[Enforcement 1] Alpine Securities v. FINRA.pdf File: DC Circuit Grants Preliminary Injunction Preventing FINRA From Expelling Member Without SEC Review, Finding Private Nondelegation Doctrine Likely To Apply file 6252 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 2024-12-10 0.3 https://www.lit-wc.aoshearman.com/siteFiles/48233/[Enforcement 2] Van Loon v. Dep't of Treasury.pdf File: Fifth Circuit Limits OFAC Authority Over Certain Cryptocurrency Products file 6252 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 2024-12-16 0.3 https://www.lit-wc.aoshearman.com/siteFiles/48250/McKinsey-DPA-Part-1.pdf File: Consulting Firm Agrees To Pay $650 Million In A Deferred Prosecution Agreement To Avoid Opioid Misbranding Conspiracy Charges file 6252 14214 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2024-12-16 0.3 https://www.lit-wc.aoshearman.com/siteFiles/48251/McKinsey-DPA-Part-2.pdf File: Consulting Firm Agrees To Pay $650 Million In A Deferred Prosecution Agreement To Avoid Opioid Misbranding Conspiracy Charges file 6252 14214 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2024-12-16 0.3 https://www.lit-wc.aoshearman.com/siteFiles/48252/McKinsey-DPA-Part-3.pdf File: Consulting Firm Agrees To Pay $650 Million In A Deferred Prosecution Agreement To Avoid Opioid Misbranding Conspiracy Charges file 6252 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 2024-12-16 0.3 https://www.lit-wc.aoshearman.com/siteFiles/48248/CFTC-AI-Advisory.pdf File: CFTC Issues Advisory Guidance For Anticipated Growth In Use Of Artificial Intelligence By Regulated Entities file 6252 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%26rsquo;s Board Diversity Proposal 14239 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2024-12-23 0.3 https://www.lit-wc.aoshearman.com/siteFiles/48265/Alliance for Fair Board Recruitment v. SEC.pdf File: Fifth Circuit Vacates SEC Order Approving Nasdaq%26rsquo;s Board Diversity Proposal file 6252 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 2024-12-23 0.3 https://www.lit-wc.aoshearman.com/siteFiles/48266/SEC v. SilverPoint.pdf File: SEC Files Complaint Alleging Hedge Fund Manager Failed To Maintain And Enforce Adequate MNPI Policies And Procedures To Separate Public And Private Side Employees file 6252 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 Jarkesy Decision Undercuts FERC%26rsquo;s Enforcement Authority 14289 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2025-01-13 0.3 https://www.lit-wc.aoshearman.com/siteFiles/48304/[Enforcement] Total Gas Settlement 1.pdf File: Energy Company Settles Long-Running Dispute With FERC After Jarkesy Decision Undercuts FERC%26rsquo;s Enforcement Authority file 6252 14289 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2025-01-13 0.3 https://www.lit-wc.aoshearman.com/siteFiles/48305/[Enforcement] Total Gas Settlement 2.pdf File: Energy Company Settles Long-Running Dispute With FERC After Jarkesy Decision Undercuts FERC%26rsquo;s Enforcement Authority file 6252 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 2025-01-21 0.3 https://www.lit-wc.aoshearman.com/siteFiles/50318/Apollo Capital Management.pdf File: SEC Enters Into Off-Channel Settlements With Twelve Additional Firms Prior To Leadership Turnover file 6252 16292 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2025-01-21 0.3 https://www.lit-wc.aoshearman.com/siteFiles/50319/Blackstone.pdf File: SEC Enters Into Off-Channel Settlements With Twelve Additional Firms Prior To Leadership Turnover file 6252 16292 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2025-01-21 0.3 https://www.lit-wc.aoshearman.com/siteFiles/50320/Carlyle.pdf File: SEC Enters Into Off-Channel Settlements With Twelve Additional Firms Prior To Leadership Turnover file 6252 16292 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2025-01-21 0.3 https://www.lit-wc.aoshearman.com/siteFiles/50321/Charles Schwaab.pdf File: SEC Enters Into Off-Channel Settlements With Twelve Additional Firms Prior To Leadership Turnover file 6252 16292 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2025-01-21 0.3 https://www.lit-wc.aoshearman.com/siteFiles/50322/Kohlberg Kravis Roberts.pdf File: SEC Enters Into Off-Channel Settlements With Twelve Additional Firms Prior To Leadership Turnover file 6252 16292 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2025-01-21 0.3 https://www.lit-wc.aoshearman.com/siteFiles/50323/PJT Partners.pdf File: SEC Enters Into Off-Channel Settlements With Twelve Additional Firms Prior To Leadership Turnover file 6252 16292 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2025-01-21 0.3 https://www.lit-wc.aoshearman.com/siteFiles/50324/Santander.pdf File: SEC Enters Into Off-Channel Settlements With Twelve Additional Firms Prior To Leadership Turnover file 6252 16292 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2025-01-21 0.3 https://www.lit-wc.aoshearman.com/siteFiles/50325/TPG Capital Advisors.pdf File: SEC Enters Into Off-Channel Settlements With Twelve Additional Firms Prior To Leadership Turnover file 6252 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 2025-01-21 0.3 https://www.lit-wc.aoshearman.com/siteFiles/50326/In re Two Sigma Investments, LP.pdf File: SEC Announces Settlement With Investment Advisory Firm For Allegedly Breaching Fiduciary Duties And Violating Whistleblower Protection Rule file 6252 16293 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2025-01-21 0.3 https://www.lit-wc.aoshearman.com/siteFiles/50327/SEC Press Release1.pdf File: SEC Announces Settlement With Investment Advisory Firm For Allegedly Breaching Fiduciary Duties And Violating Whistleblower Protection Rule file 6252 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 2025-02-10 0.3 https://www.lit-wc.aoshearman.com/siteFiles/50423/[Enforcement] Executive Order 14157.pdf File: Federal Departments And Regulatory Agencies Move Quickly To Reorganize Structure And Policy Goals Following Introduction Of New Administration file 6252 16354 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2025-02-10 0.3 https://www.lit-wc.aoshearman.com/siteFiles/50424/[Enforcement] DOJ - Cartel %26 TCO Memo.pdf File: Federal Departments And Regulatory Agencies Move Quickly To Reorganize Structure And Policy Goals Following Introduction Of New Administration file 6252 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 2025-03-10 0.3 https://www.lit-wc.aoshearman.com/siteFiles/50505/[Enforcement 1] Letter from Acting US Attys Khanna and Navarro.pdf File: US Attorney For The District of New Jersey Reverses Course And Requests Adjournment For Foreign Bribery Case Against Tech Executives On Eve of Trial file 6252 16442 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2025-03-10 0.3 https://www.lit-wc.aoshearman.com/siteFiles/50506/[Enforcement 1] Letter from US Attorney Giordano.pdf File: US Attorney For The District of New Jersey Reverses Course And Requests Adjournment For Foreign Bribery Case Against Tech Executives On Eve of Trial file 6252 16442 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2025-03-10 0.3 https://www.lit-wc.aoshearman.com/siteFiles/50507/[Enforcement 1] Executive Order Pausing FCPA Enforcement.pdf File: US Attorney For The District of New Jersey Reverses Course And Requests Adjournment For Foreign Bribery Case Against Tech Executives On Eve of Trial file 6252 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 2025-03-10 0.3 https://www.lit-wc.aoshearman.com/siteFiles/50508/[Enforcement 2] U.S. v. OKX Plea Agreement.pdf File: Cryptocurrency Exchange Pleads Guilty To Violating Anti-Money Laundering Laws, Agrees To Pay More Than $500 Million In Penalties And Forfeiture file 6252 16443 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2025-03-10 0.3 https://www.lit-wc.aoshearman.com/siteFiles/50509/[Enforcement 2] DOJ Press Release - OKX.pdf File: Cryptocurrency Exchange Pleads Guilty To Violating Anti-Money Laundering Laws, Agrees To Pay More Than $500 Million In Penalties And Forfeiture file 6252 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 %26ldquo;Securities%26rdquo; In New Statement 16444 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2025-03-10 0.3 https://www.lit-wc.aoshearman.com/siteFiles/50510/[Enforcement 3] SEC Meme Coin Statement.pdf File: SEC Declares Meme Coins Are Not %26ldquo;Securities%26rdquo; In New Statement file 6252 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 %26ldquo;But-For%26rdquo; Causation In FCA Kickback Claims Deepens Circuit Split 16445 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2025-03-10 0.3 https://www.lit-wc.aoshearman.com/siteFiles/50511/[Enforcement 4] U.S. v. Regeneron Pharms, Inc.pdf File: First Circuit Ruling Requiring %26ldquo;But-For%26rdquo; Causation In FCA Kickback Claims Deepens Circuit Split file 6252 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 2025-03-31 0.3 https://www.lit-wc.aoshearman.com/siteFiles/50597/[Enforcement] US v. Seoul Medical Grp.pdf File: DOJ Announces Settlement Where Medical Group And Related Parties Will Pay Over $62M To Resolve False Claims Act Suit file 6252 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 2025-04-07 0.3 https://www.lit-wc.aoshearman.com/siteFiles/50625/[Enforcement 1] SEC v. Miller.pdf File: SEC Charges Three Arizona Individuals With Fraudulent Municipal Bond Offering file 6252 16547 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2025-04-07 0.3 https://www.lit-wc.aoshearman.com/siteFiles/50626/[Enforcement 1] SEC Press Release.pdf File: SEC Charges Three Arizona Individuals With Fraudulent Municipal Bond Offering file 6252 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 2025-04-07 0.3 https://www.lit-wc.aoshearman.com/siteFiles/50627/[Enforcement 2] US v. Coburn.pdf File: Criminal Case Against Former Executives Of Technology Company Dismissed file 6252 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 2025-04-07 0.3 https://www.lit-wc.aoshearman.com/siteFiles/50629/[Enforcement 3] CFTC Press Release.pdf File: Heightened Surveillance And Regulatory Requirements For Virtual Currency Derivatives Exchanges Withdrawn file 6252 16552 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2025-04-07 0.3 https://www.lit-wc.aoshearman.com/siteFiles/50630/[Enforcement 3] CFTC Staff Advisory.pdf File: Heightened Surveillance And Regulatory Requirements For Virtual Currency Derivatives Exchanges Withdrawn file 6252 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 %26amp; Associates With Fraud For Allegedly Running A Nearly $200M Ponzi-like Crypto Investment Scheme 16626 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2025-04-28 0.3 https://www.lit-wc.aoshearman.com/siteFiles/50742/[Enforcement] SEC v. Palafox.pdf File: SEC Charges Founder %26amp; Associates With Fraud For Allegedly Running A Nearly $200M Ponzi-like Crypto Investment Scheme file 6252 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 2025-05-12 0.3 https://www.lit-wc.aoshearman.com/siteFiles/50788/[Enforcement] Settlement Agreement.pdf File: Defense Contractors To Pay $8.4 Million To Resolve False Claims Act Allegations Surrounding Non-Compliance With Cybersecurity Requirements file 6252 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 2025-05-19 0.3 https://www.lit-wc.aoshearman.com/siteFiles/50815/[Enforcement] DOJ White Collar Enforcement Memo.pdf File: DOJ Announces Substantial Strategic Shifts In White-Collar Crime Enforcement file 6252 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%26rsquo; 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 2025-06-16 0.3 https://www.lit-wc.aoshearman.com/siteFiles/51192/[Enforcement 2] Kousisis vs. United States.pdf File: Supreme Court Decision Endorses Fraudulent-Inducement Theory Under Federal Wire Fraud Statute, Resolving Circuit Split And Confirming Broad Reading Of Statute file 6252 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%26rsquo;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%26amp;A Safe Harbor Policy 16840 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2025-07-01 0.3 https://www.lit-wc.aoshearman.com/siteFiles/51223/[Enforcement 1] Declination letter.pdf File: DOJ Issues First-Ever Declination For Sanctions Violations Since Creation Of The M%26amp;A Safe Harbor Policy file 6252 16840 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2025-07-01 0.3 https://www.lit-wc.aoshearman.com/siteFiles/51224/[Enforcement 1] Plea agreement.pdf File: DOJ Issues First-Ever Declination For Sanctions Violations Since Creation Of The M%26amp;A Safe Harbor Policy file 6252 16840 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2025-07-01 0.3 https://www.lit-wc.aoshearman.com/siteFiles/51225/[Enforcement 1] Non-prosecution agreement.pdf File: DOJ Issues First-Ever Declination For Sanctions Violations Since Creation Of The M%26amp;A Safe Harbor Policy file 6252 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 2025-07-14 0.3 https://www.lit-wc.aoshearman.com/siteFiles/51257/[Enforcement] Whistleblower Rewards Program Press Release.pdf File: New DOJ-USPS Whistleblower Rewards Program For Antitrust Tips file 6252 16901 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2025-07-14 0.3 https://www.lit-wc.aoshearman.com/siteFiles/51258/[Enforcement] Whistleblower Enforcement Program MOU.pdf File: New DOJ-USPS Whistleblower Rewards Program For Antitrust Tips file 6252 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 2025-07-28 0.3 https://www.lit-wc.aoshearman.com/siteFiles/51297/[Enforcement] DOJ FCA Memo.pdf File: Pharma Company Brings Latest Constitutional Challenge To False Claims Act In Third Circuit file 6252 16992 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2025-07-28 0.3 https://www.lit-wc.aoshearman.com/siteFiles/51300/[Enforcement] HHS Press Release.pdf File: Pharma Company Brings Latest Constitutional Challenge To False Claims Act In Third Circuit file 6252 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 %26ldquo;Insider Trading%26rdquo; On NFTs 17034 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2025-08-04 0.3 https://www.lit-wc.aoshearman.com/siteFiles/51358/[Enforcement] U.S. v. Chastain.pdf File: Second Circuit Vacates Wire Fraud Conviction For %26ldquo;Insider Trading%26rdquo; On NFTs file 6252 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 %26ldquo;Meg%26rdquo; 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 2025-08-25 0.3 https://www.lit-wc.aoshearman.com/siteFiles/51404/[Enforcement 2] Declination Letter.pdf File: First DOJ Declination For FCPA Violations Since Renewed Enforcement Guidelines file 6252 17095 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2025-08-25 0.3 https://www.lit-wc.aoshearman.com/siteFiles/51405/[Enforcement 2] FCPA Executive Order.pdf File: First DOJ Declination For FCPA Violations Since Renewed Enforcement Guidelines file 6252 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 2025-09-15 0.3 https://www.lit-wc.aoshearman.com/siteFiles/51467/[Enforcement 2] CFTC Press Release.pdf File: CFTC Sole Democratic Commissioner Kristin Johnson To Leave The Commission file 6252 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 2025-10-14 0.3 https://www.lit-wc.aoshearman.com/siteFiles/51644/[Enforcement] In re FirstEnergy Corp.pdf File: Sixth Circuit Reaffirms Robust Privilege And Work-Product Protection For Internal Investigations In FirstEnergy Mandamus Ruling file 6252 17216 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2025-10-14 0.3 https://www.lit-wc.aoshearman.com/siteFiles/51645/[Enforcement] District Court Order.pdf File: Sixth Circuit Reaffirms Robust Privilege And Work-Product Protection For Internal Investigations In FirstEnergy Mandamus Ruling file 6252 17216 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2025-10-14 0.3 https://www.lit-wc.aoshearman.com/siteFiles/51646/[Enforcement] Special Master Order.pdf File: Sixth Circuit Reaffirms Robust Privilege And Work-Product Protection For Internal Investigations In FirstEnergy Mandamus Ruling file 6252 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%26rsquo;s Qui Tam Constitutionality 17343 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2025-11-10 0.3 https://www.lit-wc.aoshearman.com/siteFiles/51842/[Enforcement 1] United States v. Encompass Health Rehab. Hosp. of Pearland, L.L.C..pdf File: Fifth Circuit Judge Renews Scrutiny Of FCA%26rsquo;s Qui Tam Constitutionality file 6252 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 2025-12-16 0.3 https://www.lit-wc.aoshearman.com/siteFiles/52009/Enforcement - IPI Partners Settlement.pdf File: Private Equity Firm Pays Over $11 Million To Settle Russia-Related Sanctions With OFAC file 6252 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 2025-12-16 0.3 https://www.lit-wc.aoshearman.com/siteFiles/52010/Enforcement - Amendments to CFTC rules of practice and rules relating to investigations.pdf File: CFTC Announces Reforms To Rules Of Practice And Investigations file 6252 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 2025-12-22 0.3 https://www.lit-wc.aoshearman.com/siteFiles/52030/Enforcement - Commodity Futures Trading Commission v. Logista Advisors LLC et al Joint Stipulation.pdf File: CFTC Agrees To Dismiss With Prejudice Spoofing Action Against Energy Trading Firm file 6252 17548 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2025-12-22 0.3 https://www.lit-wc.aoshearman.com/siteFiles/52031/Enforcement - Commodity Futures Trading Commission v. Logista Advisors LLC et al.pdf File: CFTC Agrees To Dismiss With Prejudice Spoofing Action Against Energy Trading Firm file 6252 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%26nbsp; 17562 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2026-01-12 0.3 https://www.lit-wc.aoshearman.com/siteFiles/52043/Enforcement - Factsheet – New Department of Justice Division for National Fraud Enforcement – The White House.pdf File: New DOJ Fraud Enforcement Division Announced%26nbsp; file 6252 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 2026-01-26 0.3 https://www.lit-wc.aoshearman.com/siteFiles/52077/Enforcement - DOJ Fraud Statistics.pdf File: DOJ Announces Record-Breaking Year Of Settlements And Judgments Under The False Claims Act file 6252 17625 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2026-01-26 0.3 https://www.lit-wc.aoshearman.com/siteFiles/52078/Enforcement - DOJ's Announcement - False Claims Act Settlements.pdf File: DOJ Announces Record-Breaking Year Of Settlements And Judgments Under The False Claims Act file 6252 17625 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2026-01-26 0.3 https://www.lit-wc.aoshearman.com/siteFiles/52079/Enforcement - Fact Sheet - False Claims Act Settlements and Judgments FY2025.pdf File: DOJ Announces Record-Breaking Year Of Settlements And Judgments Under The False Claims Act file 6252 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 2026-01-26 0.3 https://www.lit-wc.aoshearman.com/siteFiles/52074/Enforcement - Emergent Biosolutions Settlement.pdf File: New York Attorney General Institutes Insider Trading Action Under Martin Act file 6252 17626 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2026-01-26 0.3 https://www.lit-wc.aoshearman.com/siteFiles/52075/Enforcement - NYAG Announcement - Attorney General James Sues Former CEO ...pdf File: New York Attorney General Institutes Insider Trading Action Under Martin Act file 6252 17626 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2026-01-26 0.3 https://www.lit-wc.aoshearman.com/siteFiles/52076/PEOPLE OF THE STATE OF NEW YORK v. KRAMER.pdf File: New York Attorney General Institutes Insider Trading Action Under Martin Act file 6252 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 2026-02-16 0.3 https://www.lit-wc.aoshearman.com/siteFiles/53132/UNITED STATES v. HEPPNER.pdf File: Southern District Of New York Rules That AI-Generated Documents Prepared Without The Direction Of Counsel Were Not Protected By Privilege file 6252 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 2026-03-02 0.3 https://www.lit-wc.aoshearman.com/siteFiles/54151/States Encroach on Prediction Markets - WSJ.pdf File: CFTC Enforcement Division Issues Advisory On Prediction Market Trading Practices file 6252 19719 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2026-03-02 0.3 https://www.lit-wc.aoshearman.com/siteFiles/54152/NORTH AMERICAN DERIVATIVES EXCHANGE, INC. v. NEVADA.pdf File: CFTC Enforcement Division Issues Advisory On Prediction Market Trading Practices file 6252 19719 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2026-03-02 0.3 https://www.lit-wc.aoshearman.com/siteFiles/54153/CFTC Enforcement Division Issues Prediction Markets Advisory _ CFTC.pdf File: CFTC Enforcement Division Issues Advisory On Prediction Market Trading Practices file 6252 19719 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2026-03-02 0.3 https://www.lit-wc.aoshearman.com/siteFiles/54154/Two Insider Cases We’ve Recently Closed - Kalshi Article (Feb. 25 2026).pdf File: CFTC Enforcement Division Issues Advisory On Prediction Market Trading Practices file 6252 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 2026-03-02 0.3 https://www.lit-wc.aoshearman.com/siteFiles/54155/SEC Enforcement Manual, Feb 2026.pdf File: SEC Updates Enforcement Manual: Key Changes To Wells Notices, Settlements, and Cooperation Guidance file 6252 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%26rsquo;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 2026-03-02 0.3 https://www.lit-wc.aoshearman.com/siteFiles/54156/SDNY Press Release.pdf File: U.S. Attorney%26rsquo;s Office For The Southern District Of New York Issues New Corporate Enforcement And Voluntary Self-Disclosure Program For Financial Crimes file 6252 19721 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2026-03-02 0.3 https://www.lit-wc.aoshearman.com/siteFiles/54167/Criminal Division Corporate Enforcement, DOJ Criminal Div..pdf File: U.S. Attorney%26rsquo;s Office For The Southern District Of New York Issues New Corporate Enforcement And Voluntary Self-Disclosure Program For Financial Crimes file 6252 19721 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2026-03-02 0.3 https://www.lit-wc.aoshearman.com/siteFiles/54157/SDNY Corporate Enforcement and Voluntary Self-Disclosure Program for Financial Crimes.pdf File: U.S. Attorney%26rsquo;s Office For The Southern District Of New York Issues New Corporate Enforcement And Voluntary Self-Disclosure Program For Financial Crimes file 6252 19721 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2026-03-02 0.3 https://www.lit-wc.aoshearman.com/siteFiles/54158/Focus Fairness and Efficiency, DOJ Criminal Div..pdf File: U.S. Attorney%26rsquo;s Office For The Southern District Of New York Issues New Corporate Enforcement And Voluntary Self-Disclosure Program For Financial Crimes file 6252 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 2026-03-02 0.3 https://www.lit-wc.aoshearman.com/siteFiles/54159/Record-breaking US DOJ year under False Claims Act.pdf File: DOJ Provides Insights into False Claims Act Investigations Related to DEI and Antidiscrimination file 6252 19723 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2026-03-02 0.3 https://www.lit-wc.aoshearman.com/siteFiles/54160/Executive Order 14173.pdf File: DOJ Provides Insights into False Claims Act Investigations Related to DEI and Antidiscrimination file 6252 19723 E13C4539-A673-48FC-BCDC-05A6556D0FC9 2026-03-02 0.3 https://www.lit-wc.aoshearman.com/siteFiles/54161/DOJ Shifts FCA Focus From Anti-DEI To Antidiscrimination - 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