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Articles by Lex Urban
SEC Highlights Spike In Whistleblower Tips In Fiscal Year 2021
United States: SEC Highlights Spike In Whistleblower Tips In Fiscal Year 2021 24 November 2021 Cadwalader, Wickersham & Taft LLP Your LinkedIn Connections with the authors To print this article, all you need is to be registered or login on Mondaq.com. In its Annual Report to Congress, the SEC Office of the Whistleblower reported that it had another recording-breaking year for both the number of tips received and whistleblower awards paid.
SEC Awards $5.3 Million To Four Whistleblowers
United States: SEC Awards $5.3 Million To Four Whistleblowers 28 June 2021 Cadwalader, Wickersham & Taft LLP Your LinkedIn Connections with the authors To print this article, all you need is to be registered or login on Mondaq.com. The SEC issued awards totaling almost $5.3 million to four whistleblowers for providing original information that led to two separate successful enforcement actions.
DOJ Casts The FCPA Spotlight On Brazil-Related Enforcement
United States: DOJ Casts The FCPA Spotlight On Brazil-Related Enforcement 16 June 2021 by Kevin Roberts , Lex Urban , Duncan Grieve and Stephen Weiss Cadwalader, Wickersham & Taft LLP Your LinkedIn Connections with the authors To print this article, all you need is to be registered or login on Mondaq.com.
DOJ Casts the FCPA Spotlight on Brazil-Related Enforcement | JD Supra
On May 25, 2021, the U.S. Department of Justice (“DOJ”) unsealed an indictment charging two Austrian citizens, Peter Weinzierl (“Weinzierl”) and Alexander Waldstein (“Waldstein”), for their roles in a scheme to launder hundreds of millions of dollars through the U.S. financial system on behalf of the Brazilian construction conglomerate, Odebrecht S.A. (“Odebrecht”).
SEC Awards $9.2 Million To Whistleblower For Related DOJ Actions
United States: SEC Awards $9.2 Million To Whistleblower For Related DOJ Actions 02 March 2021 Cadwalader, Wickersham & Taft LLP Your LinkedIn Connections with the authors To print this article, all you need is to be registered or login on Mondaq.com. The SEC issued an award of more than $9.2 million to a whistleblower who provided original information to the SEC that led to two successful related actions by the DOJ.
SEC Awards $3 Million To Two Whistleblowers (February 2021)
United States: SEC Awards $3 Million To Two Whistleblowers (February 2021) 24 February 2021 Cadwalader, Wickersham & Taft LLP Your LinkedIn Connections with the authors To print this article, all you need is to be registered or login on Mondaq.com. The SEC issued awards totaling almost $3 million to two whistleblowers for providing original information that led to two separate successful enforcement actions.
First Circuit Case Doesn't Move The Line On The Future Of State Authorized Sports Betting - Media, Telecoms, IT, Entertainment - United States
United States: First Circuit Case Doesn't Move The Line On The Future Of State Authorized Sports Betting 03 February 2021 by Todd Blanche , Jodi Avergun , Lex Urban , Christian Larson and Stephen Weiss Cadwalader, Wickersham & Taft LLP Your LinkedIn Connections with the authors To print this article, all you need is to be registered or login on Mondaq.com. The First Circuit's recent decision in New Hampshire Lottery Commission v.
SEC Awards $1.1 Million To Whistleblowers - Corporate/Commercial Law - United States
United States: SEC Awards $1.1 Million To Whistleblowers 13 January 2021 Cadwalader, Wickersham & Taft LLP Your LinkedIn Connections with the authors To print this article, all you need is to be registered or login on Mondaq.com. The SEC awarded a total of $1.1 million to five whistleblowers for providing original information that led to three separate successful enforcement actions.
A New Year’s Booster Shot: Congress Grants the SEC a Statutory Disgorgement Remedy and Extended Statute of Limitations | JD Supra
Congress opened 2021 by overturning one of President Trump’s vetoes for the first time.
SEC Awards $3 Million To Five Whistleblowers - Corporate/Commercial Law - United States
United States: SEC Awards $3 Million To Five Whistleblowers 14 December 2020 Cadwalader, Wickersham & Taft LLP Your LinkedIn Connections with the authors To print this article, all you need is to be registered or login on Mondaq.com. The SEC awarded a total of $3 million to five whistleblowers for providing original information that led to three separate successful enforcement actions.
EB-5 Ruling Shows Viability Of SEC Disgorgement Challenges
Law360 (August 25, 2020, 6:49 PM EDT) -- The U.S. Supreme Court's landmark decision in Liu v. U.S. Securities and Exchange Commission[1] is just over two months old, yet the ramifications of the decision on the SEC's enforcement powers are already taking shape.
A Liu Look at Disgorgement: Ninth Circuit Vacates SEC Disgorgement Award | JD Supra
The U.S. Supreme Court’s landmark decision in Liu v. SEC1 is less than two months old, yet the ramifications of the decision on the SEC’s enforcement powers are already taking shape. In Liu, the Supreme Court preserved the SEC’s ability to seek disgorgement of ill-gotten gains in federal court—despite the lack of an express “disgorgement” remedy in statutes—on the theory that disgorgement is one form of the “equitable relief” that statutes authorize the SEC to obtain.
SEC Awards $3.8 Million To Whistleblower (July 2020)
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SEC Awards $50 Million In Whistleblower Case
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SEC And CFTC Each Announce Whistleblower Awards
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SEC Awards $27 Million To Whistleblower
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SEC Awards $7 Million To Whistleblower
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Universities Shouldn't Roll Dice On Sports Betting Compliance
To print this article, all you need is to be registered or login on Mondaq.com. Legal sports betting is the latest third rail for college athletics. Therefore, college and university compliance programs must be equipped to handle how sports betting is dramatically altering the nation's sports landscape. The U.S. Supreme Court's decision in Murphy v.
SEC Orders First Whistleblowers Awards In 2020
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INSIGHT: America Will Double Down on Sports Betting in 2020
In May 2018, the U.S. Supreme Court overturned the Professional and Amateur Sports Protection Act (PASPA)—the federal law banning sports betting in most states. Anticipating that decision, New Jersey legalized sports betting almost immediately after the verdict, while other states utilized 2019 to draft and pass sports betting legislation, setting up the groundwork for its success.
INSIGHT: America Will Double Down on Sports Betting in 2020
In May 2018, the U.S. Supreme Court overturned the Professional and Amateur Sports Protection Act (PASPA)—the federal law banning sports betting in most states. Anticipating that decision, New Jersey legalized sports betting almost immediately after the verdict, while other states utilized 2019 to draft and pass sports betting legislation, setting up the groundwork for its success.
Too many stakeholders in the kitchen
Too many stakeholders in the kitchen By Michael Carter, MBA, PMP, CAMS, CFE, and Lex Urban Michael Carter (mcarter@alvarezandmarsal.com) is a Senior Director with Alvarez & Marsal Disputes and Investigations in Washington, D.C., and Lex Urban (lex.urban@cwt.com) is a Special Counsel for Cadwalader’s White Collar Group in Washington, D.C. High-stakes corporate investigations into bribery, corruption, and other misconduct—whether focused on internal actors or third-party business partners—are...
INSIGHT: Five Things Every Company Should Know About SEC Whistleblowers
No magic policy or state-of-the-art compliance system will fully prevent federal enforcement actions, but companies can take measures to help minimize risk and promote a healthy relationship among companies, whistleblowers, and Securities and Exchange Commission regulators. Securities law violations can be costly for companies in numerous ways, but in recent years they also have been particularly lucrative for whistleblowers.
Under Advisement: SEC Scrutinizes Wealth Management Industry | Lexology
Recent events have made it clear that there is an increased regulatory focus on the conduct of investment professionals in the wealth-management industry.
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