U.S. Authorities’ Campaign Against Spoofing and Related Market Manipulation Enters a Potentially New Phase with Recent Criminal and Civil Enforcement Actions

On September 16, 2019, the Department of Justice and the CFTC jointly announced the indictment of three precious metal traders for an alleged eight year conspiracy to manipulate gold, silver, platinum, and palladium futures prices and civil charges based upon…

Meeks and O’Keefe Article, “Pursuit of a Regulatory Practice Dream: The Story of 2 Powerhouse Bank GCs Uniting,” published by Corporate Counsel

Charlotte Financial Regulatory Advice and Response Members Barbara Meeks and Ed O’Keefe’s article titled, “Pursuit of a Regulatory Practice Dream: The Story of 2 Powerhouse Bank GCs Uniting,” was published by Corporate Counsel on July 26, 2019. In the article,…

Caution: Costs of Investigations into Employees’ Fraud are No Longer Recoverable under the Mandatory Victims Restitution Act

By Kim Cochran[1] and Frank Schall  In a decision with far-reaching implications for corporate victims of fraud, the U.S. Supreme Court recently held that the Mandatory Victims Restitution Act of 1996 (MVRA) does not entitle victims of certain federal offenses, including…

Protections for Investigation Materials Remains in the Eye of the Beholder

One of the most problematic questions facing companies simultaneously undergoing a review by external counsel and responding to a government inquiry is whether the information shared with or created by counsel will be protected from discovery in follow on civil…