Searching Content indexed under Corporate Crime by Cadwalader, Wickersham & Taft LLP ordered by Published Date Descending.
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NASAA Summarizes Recent Enforcement Trends
The North American Securities Administrators Association ("NASAA") identified recent enforcement trends in an annual summary of enforcement actions.
United States
17 Oct 2018
Medical Technologies Company Settles FCPA Charges
A medical technologies firm agreed to pay a $7.8 million penalty to settle SEC charges for violating the books and records and internal accounting controls provisions ...
United States
7 Oct 2018
SEC Charges Short Seller With Misleading Investors
The SEC charged a hedge funder adviser, his investment advisory firm and a Delaware-based company in a scheme to manipulate a stock price.
United States
17 Sep 2018
Investment Management Firm Settles FCPA Charges
U.S.-based investment management firm Legg Mason Inc. ("Legg Mason") agreed to disgorge over $34 million in profits and prejudgment interest to settle SEC charges that it violated the Foreign Corrupt Practices Act ("FCPA").
United States
11 Sep 2018
SEC And DOJ Charge NFL Player And Former Investment Banker With Insider Trading
The SEC and the DOJ charged a professional football player and a former analyst at an investment bank with fraud and insider trading.
United States
9 Sep 2018
DOJ Charges Former Transportation Executives With Accounting And Securities Fraud
The DOJ charged two former executives of a publicly traded transportation company with engaging in a multiyear accounting and securities fraud scheme.
United States
22 Jun 2018
Bank Settles Investigation Over LIBOR Manipulation
A bank agreed to pay $100 million to settle charges related to U.S. Dollar LIBOR ("USD LIBOR") manipulation. The matter was investigated by a working group ...
United States
22 Jun 2018
Manufacturer And Subsidiary To Pay Over $14 Million For FCPA Violations
The SEC settled charges against a medical device manufacturer and its wholly owned Danish subsidiary for engaging in "hundreds of sham transactions with distributors that funneled about $20 million to third parties...
United States
3 Jul 2016
SEC Enters Into NPAs In Two FCPA Cases
The SEC entered into non-prosecution agreements ("NPA") with two unrelated companies on the condition they forfeit ill-gotten gains from bribes allegedly paid to Chinese officials by foreign subsidiaries.
United States
20 Jun 2016
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