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Articles by Michael Martinez
Second Circuit Narrows SEC Disgorgement Powers and Deepens Circuit Split | JD Supra
In a significant recent decision, Securities and Exchange Commission v. Govil,[1]the Second Circuit substantially narrowed the scope of the Securities and Exchange Commission’s (SEC) disgorgement powers to cases in which the SEC can demonstrate that investors suffered a pecuniary harm. The decision may curtail the SEC’s ability to seek disgorgement as a remedy for a wide range of regulatory violations.
DOJ Announces New Mergers and Acquisitions Safe Harbor Policy for Voluntary Self-Disclosures
On Oct. 4, 2023, in remarks delivered to the Society of Corporate Compliance and Ethics’ 22nd Annual Compliance & Ethics Institute, Deputy Attorney General (AG) Lisa Monaco announced the Department of Justice’s (DOJ) new Mergers & Acquisitions Safe Harbor Policy.
Recent DOJ Settlement With NextGen Highlights Continued Enforcement Focus On Electronic Health Records Technology Vendors
On July 13, NextGen Healthcare Inc.
Recent DOJ Settlement With NextGen Highlights Continued Enforcement Focus on Electronic Health Records Technology Vendors | JD Supra
On July 13, NextGen Healthcare Inc.
DOJ’s Recent Settlement With NextGen
On July 13, NextGen Healthcare Inc.
Supreme Court Grants Certiorari to Determine Constitutionality of SEC Administrative Law Process
On June 30, 2023, the Supreme Court granted certiorari in Securities and Exchange Commission v. Jarkesy[1] to review a decision by the Fifth Circuit rejecting key aspects of the Securities and Exchange Commission’s (SEC or the Commission) administrative process and holding that the SEC’s administrative law proceedings are unconstitutional.
Commerce Department to Penalize Failure to Voluntarily Self-Disclose Significant Export Violations | JD Supra
In concert with the Department of Justice’s (DOJ) focus on voluntary self-disclosure of corporate misconduct, as well as DOJ’s commitment to addressing sanctions evasion, export control violations and similar economic crimes,[1] the Department of Commerce (DOC) recently announced clarifications to its own policies incentivizing affirmative corporate compliance. On April 18, Matthew S.
Commerce Department to Penalize Failure to Voluntarily Self-Disclose Significant Export Violations
In concert with the Department of Justice’s (DOJ) focus on voluntary self-disclosure of corporate misconduct, as well as DOJ’s commitment to addressing sanctions evasion, export control violations and similar economic crimes,[1] the Department of Commerce (DOC) recently announced clarifications to its own policies incentivizing affirmative corporate compliance. On April 18, Matthew S.
SCOTUS Unanimously Holds That Respondents in FTC and SEC Administrative Law Proceedings May Challenge the Constitutionality of Such Proceedings in Federal District Court Without First Submitting to a Final Agency Order
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On April 14, 2023, the Supreme Court issued a unanimous decision in two related cases, Axon Enterprise, Inc. v. FTC (No. 21-86) and SEC v. Cochran (No. 21-1239), holding that respondents may challenge the constitutionality of the agency’s authority in federal court before receiving a final agency order.
By Roy Englert, Alan Friedman, Dani James Verified, Michael Martinez, Gary P.Naftalis, Jennifer Windom, Daniela C. Manzi
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Lexology
Verified
Wells Fargo Fined $97.8 Million for Failing to Identify Sanctions Violations From a Legacy Wachovia Business
On March 30, federal regulators announced that Wells Fargo Bank had entered into settlements in which it agreed to pay $97.8 million in fines for enabling sanctions violations between 2010 and 2015.[1] In two separate enforcement decisions, the Department of the Treasury’s Office of Foreign Assets Control (OFAC) and the Federal Reserve’s Board of Governors found that Wells Fargo provided a financial software platform called Eximbills to an unnamed European bank (Bank A), which then used the...
DOJ Reinforces Its Focus on Affirmative Corporate Accountability at the ABA’s 38th Annual White Collar Conference
Earlier this month, at the American Bar Association’s (ABA) 38th National Institute on White Collar Crime, Deputy Attorney General Lisa O. Monaco and Assistant Attorney General Kenneth A. Polite, Jr. highlighted the Department of Justice’s (DOJ) recent policy changes and expanded initiatives in corporate criminal enforcement, emphasizing once again the importance of affirmative corporate compliance and DOJ’s commitment to individual accountability.
How luxury real estate is developing in the metaverse
Join the exceptional and become a Sotheby's International Realty agent. Learn More In 2021, two worlds collided when my luxury real estate practice was presented with a trailblazing opportunity to represent Meta Residence One. This was no ordinary home. Yes, it was slated to be built on a real plot of land, but a virtual copy of it would also exist in the metaverse. In this respect, it was the very first property of its kind.
Updates From ACI’s Advanced Forum on False Claims and Qui Tam Enforcement, June 22-23 in New York
Government, industry and outside counsel convened in New York June 22-23 at ACI’s Advanced Forum on False Claims and Qui Tam Enforcement to discuss recent trends in False Claims Act (FCA) case law and enforcement priorities. The panels addressed several developments of potential interest to health care providers, contractors that certify compliance with government cybersecurity requirements, and private equity firms that invest in and manage government contractors.
FinCEN Warns of Russian Sanctions Evasion Attempts and Provides Guidance for Increased Vigilance
Russia, USA March 11 2022 On March 7, 2022, the Financial Crimes Enforcement Network (FinCEN) of the Treasury Department published guidance on increased vigilance for potential Russian sanctions evasion attempts.[1] The FinCEN Alert follows the imposition of mounting sanctions levied by the U.S. government against Russian interests in connection with the invasion of Ukraine.[2] Among these recent efforts, the Office of Foreign Assets Control and the U.S. Department of State sanctioned...
Why are NFT homes trending, and why should agents care?
Join the exceptional and become a Sotheby's International Realty agent. Learn More A luxury property is a high-value, one-of-a-kind asset that functions simultaneously as a home, a symbol of prestige, and a lucrative investment. Viewed in those terms, it’s really not so different from a non-fungible token (NFT). Perhaps it should come as no surprise that these two spaces—ultra-luxury homes and unique digital items—are starting to overlap.
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