Securities

Recent Posts

Making a Bad Day Worse
Posted on 21 Oct 2010 by Thomas O. Gorman

Former SEC Enforcement Director Steve Cutler once told a meeting of the DC Bar Association that "no matter how bad the underlying conduct, you can always make things worse." At the time Mr. Cutler was talking about failing to produce documents... Read More

Tags: sec enforcement , conspiracy , Insider Trading , criminal prosecution , securities fraud

The FCPA: A Key Focus Of Securities Regulators
Posted on 7 Dec 2010 by Thomas O. Gorman

While insider trading has been dominating the news, the Foreign Corrupt Practices Act remains a key focus of securities regulators. The Department of Justice continued to unwind a years long conspiracy to violate the FCPA with the guilty plea yesterday... Read More

Tags: FCPA Enforcement , conspiracy , Department of Justice , bribery probe

Man Who Operated Charity As Ponzi Scheme Sentenced to Eight Years in Prison
Posted on 13 Sep 2012 by Jordan D. Maglich

A federal judge handed down an eight-year prison term to a man who duped investors out of millions of dollars in a Ponzi scheme that masqueraded as a charitable organization. Joseph Angelo Sivigliano, 80, received the sentence from United States District... Read More

Tags: Ponzi schemes , conspiracy , money laundering , wire fraud , sentence