PrintPublications
- Practice Area: Securities Enforcement, Internal and Government Investigations and Criminal Defense
11 items found.
The memorandum by Richards Kibbe & Orbe LLP partners Eva Marie Carney, Michael D. Mann and Scott C. Budlong entitled "Deconstructing WaMu: Managing Insider Trading Risks as an Ad Hoc Committee Member” has been selected and published as a Law360 expert analysis piece.
The recent, unexpected rejection by a U.S. Bankruptcy Court of the modified plan of reorganization of Washington Mutual, Inc. on the ground of a “colorable claim” of insider trading has raised questions about the standards of conduct for members of ad hoc creditors committees during corporate reorganizations.
"The Implications of the Dodd-Frank Whistleblower Provisions and Recent Decisions and Enforcement Initiatives for FCPA Compliance" authored by Richards Kibbe & Orbe LLP partner James Q. Walker was...
"Clamping Down on Kleptocrats," authored by William P. Barry and Sarah P. Swanz was featured in the June issue of Risk Management magazine. The article discusses recent political unrest in the Middle East and North Africa...
"Expanded Supervisory Liability for In-House Lawyers" authored by Richards Kibbe & Orbe LLP attorneys James Q. Walker, Daniel C. Zinman and Grant Mogan was published in the New York Law Journal. The article describes...
Allegations of insider trading are built on circumstantial evidence, which makes them hard to defend. In this memorandum Richards Kibbe & Orbe LLP partners Lucinda O. McConathy and Eva Marie Carney discuss how, as illustrated by the successful defense in SEC v. Rorech...
The SEC's recent decision in a supervisory liability case, In the Matter of Theodore W. Urban, increases the odds that in-house counsel could be deemed "supervisors" of personnel outside of their departments.
Jurisdiction over cross-border securities transactions and derivatives such as credit default swaps is of heightened concern as the international financial markets grow ever more connected and complex. In this article published in the February 2010 edition of Financier Worldwide, Richards...
Anti-corruption and anti-bribery initiatives are the current focus of regulators around the globe. Aggressive enforcement of the United States Foreign Corrupt Practices Act ("US-FCPA") by U.S. regulators, including enforcement actions against companies based outside of the United States for conduct...
A third federal district court has now rejected the SEC’s contention that using securities obtained in a PIPE transaction to cover short sales in the PIPE issuer’s shares is an unlawful distribution of unregistered securities, dismissing with prejudice the SEC’s claims under...
On January 2, 2008, in SEC v. Lyon (06-Civ.-14338) (S.D.N.Y.), the district court rejected SEC claims that Gryphon Partners LP and related entities and their managing partner had engaged in several unregistered public distributions of securities in violation of...