Year: 2011

This is the fifth in a series of articles that will be published periodically analyzing the direction of SEC enforcement. The focus of SEC enforcement in the coming months is a function of its constricted and later expanded authority. Last …

SEC ENFORCEMENT TRENDS 2011: THE SUPREME COURT, DODD-FRANK AND THE REACH OF SEC ENFORCEMENT Read More »

Maxwell Technologies, Inc. resolved FCPA violations with DOJ and the SEC. After voluntarily disclosing its violations to DOJ and the SEC the company settled all charges. Under the terms of the settlements Maxwell will pay DOJ and the SEC a …

THE FCPA, VOLUNTARY DISCLOSURE AND COOPERATION Read More »