Year: 2015

Cooperation credit and conducting internal investigations were key themes in recent remarks by Assistant Attorney General Leslie Caldwell at New York University Law School’s Program on Corporate Compliance and Enforcement (April 17 2015)(here). These have long been critical issues for …

Internal Investigations and Cooperation Credit in FCPA Investigations Read More »

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Microcap fraud, misappropriation by investment advisers and offering fraud cases were the focus of SEC enforcement this week. The Commission filed a microcap fraud action centered on blank check companies involving ten individuals. Two new actions focused on misappropriation by …

This Week In Securities Litigation (Week ending April 17, 2015) Read More »

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