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Tag: DOJ

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DOJ Official Touts Early Impact of Criminal Disclosure Policy

Person extends arm to wave a white flag of surrender

It hasn’t taken long for the Department of Justice’s new self-disclosure policy to change company behavior when it comes to reporting potential criminal misconduct, according to the head of its Criminal Division. Speaking at a conference la...

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Execs’ 10b5-1 Plans Reportedly at Heart of Silicon Valley Bank Investigation

Shadow on a wall of a person with a flashlight who is investigating

What did Silicon Valley Bank executives know, and when did they know it? Ever since the financial institution of choice for venture capital-backed startups went bust on March 10, talk in the media and around Washington has focused on the po...

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Railway signals in the middle of railroad tracks, symbolizing insider trading

Feds Issue First Indictment Related to 10b5-1 Plans

Railway signals in the middle of railroad tracks, symbolizing insider trading

After months of signaling a crackdown was coming, the federal government has broken new ground by issuing its first indictment against an executive, based solely on the use of so-called 10b5-1 plans. A quick refresher: Rule 10b5-1 of the Se...

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Big Tech Cases Part of Larger Antitrust Campaign

Pass Go spot on a Monopoly game board

President Biden’s administration doesn’t share much in common with its predecessor – from temperament to policy positions to governing style. One notable exception, however, appears to be their willingness to take on one of big tech’s bigge...

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If Fraud is Never Caught, did it Really Happen?

A groundhog (marmot) eats a large carrot

Criminal charges like the ones currently levied against FTX founder Sam Bankman-Fried raise an important question for corporate stakeholders: Is securities fraud rampant? Corporate America would undoubtedly bristle at the suggestion, deemin...

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