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Richard M. Rosenfeld

Richard M. Rosenfeld

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Securities Investigations: Internal, Civil and Criminal

Securities Investigations: Internal, Civil and Criminal

Global Investigations Review 2016

Current Issues in Internal Corporate Investigations


Media Coverage
20 October 2016
Securities Arbitration Commentator
In a bylined article, Litigation & Dispute Resolution partners Matthew Rossi (Washington DC), Richard Rosenfeld (New York), Joseph De Simone (New York), and associates Brantley Webb (Washington DC) and Melanie Burke (New York) examine Salman v. United States, one of the most closely watched insider trading cases to reach the high court in recent years.
Book
October 2016
Mayer Brown Book
The Second Edition, Release #6 of the Securities Investigations: Internal, Civil and Criminal is a practice-oriented reference for practitioners who need to know not only the most recent law governing internal, civil, and criminal investigations involving potential violation of the securities laws, but also the nuances and practical tips that can only be shared by lawyers deeply experienced in such investigations.
Legal Update
5 October 2016
Mayer Brown Legal Update
Today the United States Supreme Court is hearing argument in Salman v. United States, one of the most closely watched insider trading cases to reach the high court in recent years.
Legal Update
20 September 2016
Mayer Brown Legal Update
On July 30, 2016, the United States celebrated its National Whistleblower Appreciation Day.
News Releases
16 August 2016
Mayer Brown announced today that its Global Anti-Corruption & FCPA group in Washington DC was “Highly Recommended” by Just Anti-Corruption and profiled as one of the leading law firms advising on FCPA matters in the area.
Legal Update
23 June 2016
Mayer Brown Legal Update
The United States Securities and Exchange Commission (“SEC”) continues to bring enforcement actions focused on government-guaranteed residential mortgage backed securities, notably including those guaranteed by the Government National Mortgage Association (“Ginnie Mae” or “GNMA”).
Media Coverage
5 October 2015
Bloomberg BNA Corporate Law & Accountability Report
In a bylined article, Cybersecurity & Data Privacy partner Rajesh De (Washington DC), Litigation & Dispute Resolution partners Marcus Christian, Alex Lakatos (both Washington DC), and Richard Rosenfeld (New York), Banking & Finance partner Mark Hanchet (New York), and Financial Services Regulatory and Enforcement associate Matthew Bisanz (Washington DC) examine the importance of corporate attention and action to recent cybersecurity and data privacy risks.
Legal Update
27 August 2015
Mayer Brown Legal Update
Federal grand juries in New Jersey and New York have indicted a total of nine individuals for allegedly violating the anti-fraud provision of the Securities Exchange Act (the “Exchange Act”) and committing wire fraud, computer fraud, identity theft and money-laundering offenses.1 The prosecutions are the first by the US Department of Justice (the “DOJ”) alleging that cyber criminals hacked computers and obtained material, nonpublic information in order to commit securities fraud.
Legal Update
15 December 2014
Mayer Brown Legal Update
On December 10, 2014, in United States v. Newman, et al., the US Court of Appeals for the Second Circuit clarified the elements required to establish insider trading in tipper/tippee cases by holding that “in order to sustain a conviction for insider trading, the government must prove beyond a reasonable doubt that the tippee knew that the insider disclosed confidential information and that he did so in exchange for a personal benefit.”
Media Coverage
23 October 2014
Law 360
In a bylined article, partners Marcus A. Christian (Washington DC) , Richard M. Rosenfeld (New York), Alex C. Lakatos (Washington DC), Mark G. Hanchet (New York) and associate Matthew Bisanz (Washington DC) examine the first anti-spoofing prosecution by the US Department of Justice.
Legal Update
14 October 2014
Mayer Brown Legal Update
A Chicago federal grand jury has indicted Michael Coscia, formerly a registered floor trader and sole owner of Panther Energy Trading LLC, for allegedly violating the anti-spoofing provision of the Commodity Exchange Act (“CEA”) and committing commodities fraud.
Media Coverage
23 September 2014
Corporate Counsel
Litigation & Dispute Resolution partners Richard Rosenfeld (New York) and Michael Martinez (Washington DC) were quoted in this article detailing a recent Mayer Brown webinar.
Book
August 2014
Mayer Brown Book
The Second Edition, Release #4 of the Securities Investigations: Internal, Civil and Criminal is a practice-oriented reference for practitioners who need to know not only the most recent law governing internal, civil, and criminal investigations involving potential violation of the securities laws, but also the nuances and practical tips that can only be shared by lawyers deeply experienced in such investigations.
Legal Update
25 August 2014
Mayer Brown Legal Update
The US Court of Appeals for the Second Circuit has ruled that the presumption against extraterritoriality applies to private party actions under Section 21(h) of the Securities Exchange Act of 1934 (“Exchange Act”). The Second Circuit’s August 14, 2014 decision in Liu v. Siemens AG addressed some of the questions left unanswered in the US Supreme Court’s 2010 decision in Morrison v. National Australia Bank.
Legal Update
27 June 2014
Mayer Brown Legal Update
The US Securities and Exchange Commission (SEC or the Commission) has announced a $2.2 million settlement in the Commission’s first whistleblower anti-retaliation case. As part of the settlement order, the SEC charged Paradigm Capital Management, Inc., a registered investment adviser, and Candace King Weir, the firm’s founder, president, and chief investment officer (collectively, “Paradigm”), with violations of the Securities Exchange Act of 1934 and the Investment Advisers Act of 1940 for engaging in prohibited principal transactions with advisory clients and subsequently retaliating against an employee who reported the transactions to the SEC; Paradigm settled the matter without admitting or denying the charges.
Legal Update
8 May 2014
Mayer Brown Legal Update
On May 1, 2014, it was announced that Avon Products, Inc., reached a settlement with US regulators over a long-standing federal probe into whether the cosmetics company paid bribes in China and other countries to gain favors.
Legal Update
16 September 2013
Mayer Brown Legal Update
On August 30, 2013, the US Court of Appeals for the Second Circuit ruled in United States v. Vilar that the presumption against extraterritoriality applies to federal criminal prosecutions under Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act).
Media Coverage
23 August 2013
Law360
In a bylined article, Litigation & Dispute Resolution partners Richard Rosenfeld (New York) and Kelly Kramer (Washington, DC) and associate Alexandra Newman (Chicago) discuss how a US SEC settlement that required Harbinger Capital to pay more than $18 million in penalties portends a new enforcement climate.
Legal Update
22 August 2013
Mayer Brown Legal Update
The US Securities and Exchange Commission (SEC) recently announced that Philip A. Falcone, a New York-based hedge fund advisor, and the hedge fund he managed, Harbinger Capital Partners LLC (Harbinger Capital), have agreed to settle allegations of misappropriation of client assets, market manipulation and client betrayal.
Book
August 2013
Mayer Brown Book
The new Second Edition of Securities Investigations: Internal, Civil and Criminal is a practice-oriented reference for practitioners who need to know not only the most recent law governing internal, civil, and criminal investigations involving potential violation of the securities laws, but also the nuances and practical tips that can only be shared by lawyers deeply experienced in such investigations.
Newsletter
Summer 2013
Mayer Brown Newsletter
Welcome to the Summer 2013 edition of the Mayer Brown Business & Technology Sourcing Review.
Article
Summer 2013
Business & Technology Sourcing Review - Issue 19
In 2012 there were more than 2,600 reported incidents of data breach, more than double the number in the previous year. That figure highlights just how fast the challenge of cybersecurity is growing, with concomitant exponential growth in the cost of cyber breaches to businesses.
Media Coverage
7 August 2013
The Harvard Law School Forum on Corporate Governance and Financial Regulation
A Mayer Brown legal update written by Litigation & Dispute Resolution partners Richard Rosenfeld (New York) and Kelly Kramer (Washington, DC) is republished.
Legal Update
19 July 2013
Mayer Brown Legal Update
In a regulatory filing made on July 19, 2013, Harbinger Group, Inc. (Harbinger Group), a publicly traded investment company, announced that the US Securities and Exchange Commission (SEC) had rejected an agreement in principle that Harbinger Group had reached with the staff of the SEC’s Enforcement Division.
Media Coverage
2 July 2013
Compliance Week (subscription required)
Securities Litigation & Enforcement partner Richard Rosenfeld (New York) is quoted in an article discussing that the Securities and Exchange Commission is considering new cyber-threat disclosure guidance demands.

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