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Insight

On May 18, 2022, the Fifth Circuit issued an opinion vacating a Securities and Exchange Commission (“SEC”) Administrative Law Judge’s (“ALJ”) decision that George Jarkesy, Jr. (“Jarkesy”) and his investment adviser Patriot28, L.L.C. (“Patriot28”) committed securities fraud.

May 19, 2022
Insight
Insight

On May 6, 2022, the Securities and Exchange Commission (“SEC”) announced a $5.5 million settlement of charges against NVIDIA Corporation (“NVIDIA”) for allegedly failing to adequately disclose in the Management’s Discussion and Analysis of Financial Condition and Results of Operations (“MD&A”) section of its Forms 10-Q the fact that cryptomining was a significant factor in the year-over-year growth in its more traditional gaming business.

May 16, 2022
Insight
Insight

On April 18, 2022, the Securities and Exchange Commission (“SEC”) announced the fourth enforcement action arising from its EPS Initiative, charging Rollins Inc. (“Rollins”) and its former chief financial officer (“CFO”) with violating Section 17(a) of the Securities Act of 1933 (“Securities Act”) and Sections 13(a), 13(b)(2)(A), and 13(b)(5) of the Securities Exchange Act of 1934 (“Exchange Act”) by engaging in improper accounting practices in order to boost the company’s publicly reported quarterly earnings per share (“EPS”) to meet research analysts’ consensus estimates.

May 5, 2022
Insight
Insight

In yet another indication that the Biden administration is continuing to ramp up white collar enforcement, the U.S. Department of Justice (“DOJ”) and Securities and Exchange Commission (“SEC”) announced on April 20, 2022 that Stericycle, Inc. (“Stericycle”), an Illinois-based international waste management company, has agreed to pay more than $84 million to resolve parallel Foreign Corrupt Practices Act (“FCPA”) investigations by authorities in the United States and Brazil.

April 28, 2022
Insight
Insight

On March 9, 2022, the Securities and Exchange Commission (“SEC”) announced Proposed Rules on cybersecurity risk management, strategy, governance, and incident disclosure (“Proposed Rules”) to address concerns of increasing cybersecurity threats to public companies.

April 21, 2022
Insight
Insight

In a dramatic departure from prior practice, the U.S. Department of Justice (“DOJ”) recently released its second Opinion Procedure Release (“OPR”) in the last two years, following a half-decade of dormancy, and perhaps responding to criticism from the business community, DOJ actually provided actionable and immediate guidance to a company facing imminent harm.

April 6, 2022
Insight
Insight

For those facing a potential enforcement recommendation at the close of a white collar investigation, choosing whether to litigate against or settle with the government agency is a critical strategic crossroads.

April 6, 2022
Event Recap
Event Recap
On Tuesday, April 5, 2022, a panel of former Securities and Exchange Commission officials and the current Director of the Fort Worth Regional Office share their thoughts on the SEC’s “unprecedented rulemaking”
April 5, 2022
Video
Insight
Insight

On March 9, 2022, the Securities and Exchange Commission (“Commission”) issued its much-anticipated proposed rule amendments which would mandate certain cybersecurity disclosures for public companies (“Proposed Rules”).

March 11, 2022
Insight
Insight

Foreign Corrupt Practices Act Enforcement Leaders at the DOJ and SEC Signal Increased Enforcement, an Upswing in Coordinated Investigations and Resolutions, and a Focus on Individual Actors to Dismantle Corporate Wrongdoing

March 10, 2022
Insight
Insight

Both the SEC and DOJ are looking to stay ahead of emerging trends in securities enforcement by looking for a role for regulators in today’s marketplace trends

March 10, 2022
Insight
Insight

The Securities and Exchange Commission’s (the “SEC”) escalating focus on investment advisor compliance is continuing into 2022.

February 23, 2022