Publications

• SEC Division of Examinations Issues ESG Risk Alert
  16 April 2021
  Andrew J. Ceresney
  ,
  Arian M. June
  ,
  Robert B. Kaplan
  ,
  Marc Ponchione
  ,
  Julie M. Riewe
  ,
  Jonathan R. Tuttle
  ,
  Ada Fernandez Johnson
  ,
  James B. Amler
  ,
  Tara P. Ganapathy
• SEC Sues AT&T and Three Executives for Selective Disclosures to Analysts
  9 March 2021
  Andrew J. Ceresney
  ,
  Matthew E. Kaplan
  ,
  Jonathan R. Tuttle
  ,
  Ada Fernandez Johnson
• 2021 SEC Division of Examinations Priorities
  8 March 2021
  Andrew J. Ceresney
  ,
  Arian M. June
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Jeff Robins
  ,
  Jonathan R. Tuttle
  ,
  Mary Jo White
  ,
  James B. Amler
  ,
  Charu A. Chandrasekhar
  ,
  Ada Fernandez Johnson
  ,
  Scott M. Caravello
• A Shot Across the Bow: Acting SEC Chair Lee Reinstitutes Delegated Authority for Senior Enforcement Leadership and Rescinds Clayton’s Waiver Policy
  16 February 2021
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Arian M. June
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Jonathan R. Tuttle
  ,
  Charu A. Chandrasekhar
  ,
  Ada Fernandez Johnson
• FCPA Update January 2021
  2 February 2021
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Andrew M. Levine
  ,
  David A. O'Neil
  ,
  Karolos Seeger
  ,
  Jane Shvets
  ,
  Bruce E. Yannett
  ,
  Alexandre Bisch
  ,
  Erich O. Grosz
  ,
  Ada Fernandez Johnson
  ,
  Anna V. Maximenko
  ,
  Philip Rohlik
  ,
  Daniel Aun
  ,
  Konstantin Bureiko
  ,
  Aisling Cowell
  ,
  Andreas A. Glimenakis
  ,
  Elena Klutchareva
  ,
  Ramsay McCulloch
  ,
  Daniel J. Marcus
  ,
  Dr. Friedrich Popp
• Second Circuit Set To Revisit Insider Trading Decision Post-Bridgegate
  19 January 2021
  Andrew J. Ceresney
  ,
  Matthew E. Kaplan
  ,
  Charu A. Chandrasekhar
  ,
  Eric Silverberg
  ,
  Arian M. June
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Jonathan R. Tuttle
  ,
  Ada Fernandez Johnson
• SEC Announces Reg BI-Focused Examinations to Begin in January 2021
  7 January 2021
  Andrew J. Ceresney
  ,
  Arian M. June
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Jeff Robins
  ,
  Jonathan R. Tuttle
  ,
  Charu A. Chandrasekhar
  ,
  Ada Fernandez Johnson
  ,
  Jonathan M. DeMars
• The Cheesecake Factory Settles SEC’s First Enforcement Action Against a Public Company for Misleading COVID-19 Disclosures Regarding Financial Impact of the Pandemic
  8 December 2020
  Andrew J. Ceresney
  ,
  Arian M. June
  ,
  Matthew E. Kaplan
  ,
  Julie M. Riewe
  ,
  Jonathan R. Tuttle
  ,
  Mary Jo White
  ,
  Charu A. Chandrasekhar
  ,
  Ada Fernandez Johnson
  ,
  Jonathan M. DeMars
  ,
  Mark D. Flinn
• Recent U.S. Developments, Including Passage of Holding Foreign Companies Accountable Act, Signal Harder Stance with China
  7 December 2020
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  William Y. Chua
  ,
  Gareth Hughes
  ,
  Matthew E. Kaplan
  ,
  Satish M. Kini
  ,
  Peter J. Loughran
  ,
  Jonathan R. Tuttle
  ,
  Ada Fernandez Johnson
  ,
  Philip Rohlik
  ,
  Tingting Wu
• Insider Trading Disclosure Update - Vol. 7, Issue 1
  25 November 2020
  Matthew E. Kaplan
  ,
  Jonathan R. Tuttle
  ,
  Ada Fernandez Johnson
  ,
  Morgan J. Hayes
  ,
  Steven J. Slutzky
  ,
  Mark D. Flinn
  ,
  Benjamin R. Pedersen
  ,
  Jonathan M. DeMars
  ,
  Jonathan C. Miu
• SEC Annual Report on Whistleblower Program Highlights Record-Setting 10-Year Anniversary
  19 November 2020
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Arian M. June
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Jonathan R. Tuttle
  ,
  Mary Jo White
  ,
  Ada Fernandez Johnson
  ,
  Michael P. Geraltowski
• Compliance & Enforcement: Despite Unprecedented Challenges, SEC’s Division of Enforcement’s 2020 Annual Report Presents Healthy Enforcement Results
  9 November 2020
  Compliance & Enforcement
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Arian M. June
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Jonathan R. Tuttle
  ,
  Mary Jo White
  ,
  Ada Fernandez Johnson
  ,
  Mark D. Flinn
• Despite Unprecedented Challenges, SEC’s Division of Enforcement 2020 Annual Report Presents Healthy Enforcement Results
  3 November 2020
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Arian M. June
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Jonathan R. Tuttle
  ,
  Mary Jo White
  ,
  Ada Fernandez Johnson
  ,
  Mark D. Flinn
• FCPA Update October 2020
  30 October 2020
  Andrew M. Levine
  ,
  Jane Shvets
  ,
  Bruce E. Yannett
  ,
  Ada Fernandez Johnson
  ,
  Daniel Aun
  ,
  Sol Czerwonko
  ,
  Andreas A. Glimenakis
  ,
  Carolina Kupferman
  ,
  Marisa R. Taney
• SEC Adopts Amendments to Whistleblower Rules to Enhance Program Efficiency and Effectiveness
  24 September 2020
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Jyotin Hamid
  ,
  Mary Beth Hogan
  ,
  Arian M. June
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Jonathan R. Tuttle
  ,
  Ada Fernandez Johnson
• U.S. Enforcement Agencies Release Second Edition of FCPA Resource Guide
  8 July 2020
  Kara Brockmeyer
  ,
  Helen V. Cantwell
  ,
  Andrew J. Ceresney
  ,
  Andrew M. Levine
  ,
  David A. O'Neil
  ,
  Winston M. Paes
  ,
  David Sarratt
  ,
  Jane Shvets
  ,
  Jonathan R. Tuttle
  ,
  Mary Jo White
  ,
  Bruce E. Yannett
  ,
  Lisa Zornberg
  ,
  Ada Fernandez Johnson
  ,
  Philip Rohlik
• Supreme Court Liu Decision Upholds SEC Disgorgement Power While Suggesting Potential Limits, and May Impact FTC Enforcement
  23 June 2020
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Arian M. June
  ,
  Robert B. Kaplan
  ,
  Andrew M. Levine
  ,
  David A. O'Neil
  ,
  Julie M. Riewe
  ,
  Paul D. Rubin
  ,
  Jonathan R. Tuttle
  ,
  Bruce E. Yannett
  ,
  Mary Jo White
  ,
  Ada Fernandez Johnson
  ,
  Valerie A. Zuckerman
• SEC Shows Continued Willingness to Award Compliance Whistleblowers
  3 April 2020
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Arian M. June
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Jonathan R. Tuttle
  ,
  Mary Jo White
  ,
  Ada Fernandez Johnson
  ,
  Suzanne Zakaria
• SEC Enforcement Co-Directors Address Important Issues of Market Integrity
  25 March 2020
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Arian M. June
  ,
  Matthew E. Kaplan
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Jonathan R. Tuttle
  ,
  Ada Fernandez Johnson
  ,
  Jonathan M. DeMars
• Insider Trading Disclosure Update - Vol. 6, Issue 1
  13 December 2019
  Morgan J. Hayes
  ,
  Matthew E. Kaplan
  ,
  Jonathan R. Tuttle
  ,
  Julie M. Riewe
  ,
  Steven J. Slutzky
  ,
  Ada Fernandez Johnson
  ,
  Carolina de Barros
  ,
  Jonathan M. DeMars
  ,
  Mark D. Flinn
  ,
  Benjamin R. Pedersen
• SEC Annual Report on Whistleblowers Shows Tips Received Leveling Off
  20 November 2019
  Arian M. June
  ,
  Jonathan R. Tuttle
  ,
  Ada Fernandez Johnson
• SEC’s Division of Enforcement 2019 Annual Report Presents Strong Enforcement Results
  7 November 2019
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Arian M. June
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Jonathan R. Tuttle
  ,
  Mary Jo White
  ,
  James B. Amler
  ,
  Ada Fernandez Johnson
• Delaware Court of Chancery Sustains Failure to Monitor Caremark Claim
  22 October 2019
  Mark P. Goodman
  ,
  Maura Kathleen Monaghan
  ,
  Jonathan R. Tuttle
  ,
  Paul D. Rubin
  ,
  Ada Fernandez Johnson
  ,
  Jacob W. Stahl
  ,
  Tara P. Ganapathy
• Law360: Drugmaker Fine Shows SEC's Renewed Disclosure Focus
  30 August 2019
  Law360
  Andrew J. Ceresney
  ,
  Paul M. Rodel
  ,
  Paul D. Rubin
  ,
  Jonathan R. Tuttle
  ,
  Ada Fernandez Johnson
  ,
  Melissa Runsten
• SEC Charges Pharmaceutical Company for Violation of Regulation FD, Reinforcing Need to Establish Policies for Handling Material Non-Public Information
  23 August 2019
  Andrew J. Ceresney
  ,
  Paul M. Rodel
  ,
  Paul D. Rubin
  ,
  Jonathan R. Tuttle
  ,
  Ada Fernandez Johnson
  ,
  Melissa Runsten
• Corporate Disputes: Remedies and Damages in Securities Litigation
  12 June 2019
  Corporate Disputes
  Ada Fernandez Johnson
• U.S. Supreme Court Sides with SEC in Interpreting “Scheme Liability”
  29 March 2019
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Robert B. Kaplan
  ,
  Matthew E. Kaplan
  ,
  Maeve O'Connor
  ,
  Julie M. Riewe
  ,
  Jonathan R. Tuttle
  ,
  Mary Jo White
  ,
  Bruce E. Yannett
  ,
  Ada Fernandez Johnson
• Insider Trading & Disclosure Update - Volume 5, Issue 1
  28 February 2019
  Matthew E. Kaplan
  ,
  Jonathan R. Tuttle
  ,
  Ada Fernandez Johnson
  ,
  Morgan J. Hayes
  ,
  Steven J. Slutzky
  ,
  Mark D. Flinn
  ,
  Jonathan C. Miu
  ,
  Benjamin R. Pedersen
  ,
  Jonathan M. DeMars
• Tenth Circuit Affirms SEC's Extraterritorial Reach
  29 January 2019
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Matthew E. Kaplan
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Jonathan R. Tuttle
  ,
  Mary Jo White
  ,
  Ada Fernandez Johnson
• SEC Announces Record-Breaking Year for Whistleblower Program
  26 November 2018
  Andrew J. Ceresney
  ,
  Jyotin Hamid
  ,
  Mary Beth Hogan
  ,
  Andrew M. Levine
  ,
  Jonathan R. Tuttle
  ,
  Mary Jo White
  ,
  Ada Fernandez Johnson
  ,
  Arian M. June
  ,
  Katherine L. Nelson
• SEC’s Division of Enforcement Issues 2018 Annual Report
  5 November 2018
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Robert B. Kaplan
  ,
  Andrew M. Levine
  ,
  Julie M. Riewe
  ,
  Jonathan R. Tuttle
  ,
  Mary Jo White
  ,
  Bruce E. Yannett
  ,
  Ada Fernandez Johnson
  ,
  James B. Amler
  ,
  Arian M. June
• Insider Trading & Disclosure Update - Vol. 4, Issue 1
  October 2018
  Matthew E. Kaplan
  ,
  Jonathan R. Tuttle
  ,
  Ada Fernandez Johnson
  ,
  Morgan J. Hayes
  ,
  Steven J. Slutzky
  ,
  Mark D. Flinn
  ,
  Jonathan C. Miu
  ,
  Benjamin R. Pedersen
• SEC Sues Hedge Fund Adviser For Alleged Short-and-Distort Scheme
  25 September 2018
  Matthew E. Kaplan
  ,
  Jonathan R. Tuttle
  ,
  Ada Fernandez Johnson
• Supreme Court Holds Appointment of SEC’s In-House Judges Unconstitutional
  25 June 2018
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Jonathan R. Tuttle
  ,
  Bruce E. Yannett
  ,
  Ada Fernandez Johnson
• Supreme Court Clarifies Scope of Dodd-Frank’s Whistleblower Protections
  22 February 2018
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Jyotin Hamid
  ,
  Mary Beth Hogan
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Jonathan R. Tuttle
  ,
  Mary Jo White
  ,
  Ada Fernandez Johnson
  ,
  Arian M. June
• Oral Downloads of Interview Memoranda to Government Regulators Waive Work Product Protection
  15 December 2017
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Colby A. Smith
  ,
  Jonathan R. Tuttle
  ,
  Bruce E. Yannett
  ,
  Ada Fernandez Johnson
• 4th Circ. Deals Blow To Securities Fraud Plaintiffs
  13 December 2017
  Law360
  Colby A. Smith
  ,
  Jonathan R. Tuttle
  ,
  Ada Fernandez Johnson
• U.S. Supreme Court Strictly Interprets Three-Year Time Limit for Filing Section 11 Claims
  28 June 2017
  Maeve O'Connor
  ,
  Colby A. Smith
  ,
  Jonathan R. Tuttle
  ,
  Ada Fernandez Johnson
• U.S. Supreme Court Holds SEC Disgorgement Is a Penalty Subject to a Five-Year Statute of Limitations
  7 June 2017
  Mary Jo White
  ,
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Robert B. Kaplan
  ,
  Jonathan R. Tuttle
  ,
  Julie M. Riewe
  ,
  Ada Fernandez Johnson
  ,
  Anna Moody
• Ninth Circuit Widens Split Over Application of Dodd-Frank’s Whistleblower Protections
  13 March 2017
  Andrew J. Ceresney
  ,
  Jyotin Hamid
  ,
  Mary Beth Hogan
  ,
  Julie M. Riewe
  ,
  Jonathan R. Tuttle
  ,
  Ada Fernandez Johnson
  ,
  Arian M. June
  ,
  Mark D. Flinn
• SEC Charges Exempt Reporting Adviser’s CCO for False Statements in Forms ADV
  24 January 2017
  Jonathan Adler
  ,
  Andrew M. Ahern
  ,
  Kenneth J. Berman
  ,
  Sally Gibson
  ,
  Geoffrey Kittredge
  ,
  Andrew M. Ostrognai
  ,
  Julie M. Riewe
  ,
  David J. Schwartz
  ,
  Rebecca F. Silberstein
  ,
  Ada Fernandez Johnson
• SEC Brings Two Enforcement Actions Against Employers for Taking Steps to Impede Whistleblower Activity
  20 January 2017
  Jyotin Hamid
  ,
  Mary Beth Hogan
  ,
  Julie M. Riewe
  ,
  Jonathan R. Tuttle
  ,
  Ada Fernandez Johnson
  ,
  Arian M. June
  ,
  Mark D. Flinn
• Failure to Comply with Internal Corporate Processes and Policies May Violate Exchange Act Accounting Provisions
  7 December 2016
  Paul R. Berger
  ,
  Matthew E. Kaplan
  ,
  Alan H. Paley
  ,
  Colby A. Smith
  ,
  Jonathan R. Tuttle
  ,
  Ada Fernandez Johnson
• Supreme Court’s Holding in Salman v. United States Leaves Many Important Questions Unanswered
  7 December 2016
  Paul R. Berger
  ,
  Matthew E. Kaplan
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Jonathan R. Tuttle
  ,
  Ada Fernandez Johnson
• SEC Exams Focus on Whistleblower Compliance by Investment Advisers and Brokers
  26 October 2016
  Kenneth J. Berman
  ,
  Jyotin Hamid
  ,
  Michael P. Harrell
  ,
  Mary Beth Hogan
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Jonathan R. Tuttle
  ,
  Ada Fernandez Johnson
• SEC Brings First Stand-Alone Anti-Retaliation Enforcement Action Under Dodd-Frank
  4 October 2016
  Jyotin Hamid
  ,
  Mary Beth Hogan
  ,
  Jonathan R. Tuttle
  ,
  Ada Fernandez Johnson
  ,
  Mark D. Flinn
• SEC Complaint Serves as Reminder to Carefully Consider Disclosure Obligations Relating to Government Investigations
  23 September 2016
  Matthew E. Kaplan
  ,
  Alan H. Paley
  ,
  Jonathan R. Tuttle
  ,
  Ada Fernandez Johnson
• Insider Trading & Disclosure Update - Vol. 3, Issue 1
  August 2016
  Matthew E. Kaplan
  ,
  Jonathan R. Tuttle
  ,
  Ada Fernandez Johnson
  ,
  Morgan J. Hayes
  ,
  Steven J. Slutzky
  ,
  Mark D. Flinn
  ,
  Benjamin R. Pedersen
  ,
  Bruce E. Yannett
  ,
  Colby A. Smith
  ,
  Julie M. Riewe
  ,
  Paul R. Berger
  ,
  Robert B. Kaplan
• D.C. Circuit Upholds Constitutionality of SEC’s In-House Courts
  12 August 2016
  Paul R. Berger
  ,
  Matthew E. Kaplan
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Colby A. Smith
  ,
  Jonathan R. Tuttle
  ,
  Ada Fernandez Johnson
• SEC Brings Action Against Employer for Agreements Requiring Employees to Waive Recovery if They Blow the Whistle
  11 August 2016
  Jyotin Hamid
  ,
  Mary Beth Hogan
  ,
  Jonathan R. Tuttle
  ,
  Ada Fernandez Johnson
• Eleventh Circuit Halts Parallel Federal Litigation Against the SEC’s In-House Judges
  27 June 2016
  Paul R. Berger
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Colby A. Smith
  ,
  Jonathan R. Tuttle
  ,
  Ada Fernandez Johnson
• Eleventh Circuit Holds that SEC Claims for Disgorgement and Declaratory Relief are Subject to Five-Year Limitations Period
  3 June 2016
  Paul R. Berger
  ,
  Robert B. Kaplan
  ,
  Andrew M. Levine
  ,
  Julie M. Riewe
  ,
  Colby A. Smith
  ,
  Jonathan R. Tuttle
  ,
  Bruce E. Yannett
  ,
  Ada Fernandez Johnson
• Recent Decisions Create Further Uncertainty on Question of Whether Internal Reporting Triggers Dodd-Frank Whistleblower Anti-Retaliation Protection
  20 January 2016
  Jyotin Hamid
  ,
  Mary Beth Hogan
  ,
  Jonathan R. Tuttle
  ,
  Ada Fernandez Johnson
• Insider Trading & Disclosure Update - Vol. 2, Issue 2
  December 2015
  Matthew E. Kaplan
  ,
  Jonathan R. Tuttle
  ,
  Ada Fernandez Johnson
  ,
  Morgan J. Hayes
  ,
  Steven J. Slutzky
• SEC Settles Action Concerning Adequacy of Policies to Prevent Dissemination of Material Nonpublic Information
  2 December 2015
  Paul R. Berger
  ,
  Kenneth J. Berman
  ,
  Matthew E. Kaplan
  ,
  Robert B. Kaplan
  ,
  Jonathan R. Tuttle
  ,
  Ada Fernandez Johnson
• Second Circuit Creates Circuit Split on the Question of Whether Internal Reporting Triggers Whistleblower Anti-Retaliation Protection Under Dodd-Frank
  11 September 2015
  Jyotin Hamid
  ,
  Mary Beth Hogan
  ,
  Jonathan R. Tuttle
  ,
  Ada Fernandez Johnson
• SEC Brings First-of-Its-Kind Action for Confidentiality Agreement that Discourages Whistleblowing
  6 April 2015
  Jyotin Hamid
  ,
  Mary Beth Hogan
  ,
  Jonathan R. Tuttle
  ,
  Ada Fernandez Johnson
• SEC Brings First-of-Its-Kind Enforcement Action for Agreement that Interferes with Whistleblowing
  April 2015
  FCPA Update - Vol. 6, No. 9
  Mary Beth Hogan
  ,
  Jyotin Hamid
  ,
  Jonathan R. Tuttle
  ,
  Ada Fernandez Johnson
• Dropped Herbalife Insider Case Leaves Questions Unanswered
  27 February 2015
  Law360
  Matthew E. Kaplan
  ,
  Jonathan R. Tuttle
  ,
  Ada Fernandez Johnson
  ,
  Morgan J. Hayes
• Judiciary Scrutiny of Deferred Prosecution Agreements: The Latest Chapter
  February 2015
  FCPA Update - Volume 6, No. 7
  Andrew M. Levine
  ,
  Ada Fernandez Johnson
• Allergan Fuels Tension Over Schedule 13D Disclosure
  23 February 2015
  Law360
  Matthew E. Kaplan
  ,
  Jonathan R. Tuttle
  ,
  Ada Fernandez Johnson
• Citigroup Fallout And SEC’s Strategic Resource Allocations
  17 February 2015
  Law360
  Jonathan R. Tuttle
  ,
  Ada Fernandez Johnson
• Insider Trading & Disclosure Update - Vol. 2, Issue 1
  January 2015
  Matthew E. Kaplan
  ,
  Jonathan R. Tuttle
  ,
  Ada Fernandez Johnson
  ,
  Morgan J. Hayes
  ,
  Steven J. Slutzky
• Second Circuit Speaks On Source Of Duty For Insider Trading And Scope Of Disgorgement Remedy
  January 2015
  Financial Fraud Law Report
  Matthew E. Kaplan
  ,
  Jonathan R. Tuttle
  ,
  Ada Fernandez Johnson
• Third Circuit Affirms Enforceability of Pre-Dispute Arbitration Agreements for Whistleblower Claims Under Dodd-Frank
  17 December 2014
  Jyotin Hamid
  ,
  Mary Beth Hogan
  ,
  Jonathan R. Tuttle
  ,
  Ada Fernandez Johnson
• Second Circuit Restores Teeth to Insider Trading Personal Benefit Requirement
  11 December 2014
  Paul R. Berger
  ,
  Helen V. Cantwell
  ,
  Eric R. Dinallo
  ,
  Mark P. Goodman
  ,
  Matthew E. Kaplan
  ,
  Robert B. Kaplan
  ,
  Andrew M. Levine
  ,
  Jonathan R. Tuttle
  ,
  Bruce E. Yannett
  ,
  Ada Fernandez Johnson
• Inside 2nd Circ Ruling on Overseas Whistleblower
  21 August 2014
  Law360
  Jyotin Hamid
  ,
  Mary Beth Hogan
  ,
  Jonathan R. Tuttle
  ,
  Ada Fernandez Johnson
• Second Circuit Holds Whistleblower Anti-Retaliation Provision Does Not Apply Extraterritorially
  19 August 2014
  Jyotin Hamid
  ,
  Mary Beth Hogan
  ,
  Jonathan R. Tuttle
  ,
  Ada Fernandez Johnson
• Heads of SEC Whistleblower Office and FCPA Unit Warn against Interference with Potential Whistleblowers
  June 2014
  Financial Fraud Law Dept
  Paul R. Berger
  ,
  Andrew M. Levine
  ,
  Jonathan R. Tuttle
  ,
  Ada Fernandez Johnson
• Insider Trading & Disclosure Update - Vol. 1, No. 1
  July 2014
  Matthew E. Kaplan
  ,
  Jonathan R. Tuttle
  ,
  Ada Fernandez Johnson
  ,
  Morgan J. Hayes
  ,
  Steven J. Slutzky
• FCPA Update
  June 2014, Vol. 5, No. 11
  Paul R. Berger
  ,
  Andrew M. Levine
  ,
  Colby A. Smith
  ,
  Jonathan R. Tuttle
  ,
  Bruce E. Yannett
  ,
  Ada Fernandez Johnson
  ,
  Karolos Seeger
• Supreme Court Upholds “Fraud on the Market” Presumption But Allows Evidence of Lack of Price Impact at the Class Certification Stage
  24 June 2014
  Gary W. Kubek
  ,
  Maeve O'Connor
  ,
  Edwin G. Schallert
  ,
  Colby A. Smith
  ,
  Jonathan R. Tuttle
  ,
  Bruce E. Yannett
  ,
  Ada Fernandez Johnson
  ,
  Elliot Greenfield
• SEC Brings First Anti-Retaliation Enforcement Action under Dodd-Frank
  19 June 2014
  Jyotin Hamid
  ,
  Jonathan R. Tuttle
  ,
  Ada Fernandez Johnson
• Second Circuit Defers to SEC in Overturning District Court’s Rejection of Settlement with “Neither Admit or Deny” Language
  5 June 2014
  Andrew M. Levine
  ,
  Bruce E. Yannett
  ,
  Paul R. Berger
  ,
  Robert B. Kaplan
  ,
  Colby A. Smith
  ,
  Jonathan R. Tuttle
  ,
  Ada Fernandez Johnson
  ,
  David Sarratt
• Second Circuit Further Limits Securities Claims Based on the Purchase of Foreign Securities
  8 May 2014
  Gary W. Kubek
  ,
  Maeve O'Connor
  ,
  Edwin G. Schallert
  ,
  Colby A. Smith
  ,
  Jonathan R. Tuttle
  ,
  Ada Fernandez Johnson
• SEC Warns Against Interference with Potential Whistleblowers
  6 May 2014
  Kenneth J. Berman
  ,
  Jonathan R. Tuttle
  ,
  Jyotin Hamid
  ,
  Michael P. Harrell
  ,
  Mary Beth Hogan
  ,
  Ada Fernandez Johnson
• FCPA Update
  April 2014, Vol. 5, No. 9
  Andrew M. Levine
  ,
  Paul R. Berger
  ,
  Jonathan R. Tuttle
  ,
  Ada Fernandez Johnson
• Head of SEC Whistleblower Office Warns against Interference with Potential Whistleblowers
  24 April 2014
  Jyotin Hamid
  ,
  Mary Beth Hogan
  ,
  Jonathan R. Tuttle
  ,
  Ada Fernandez Johnson
• SEC Focuses on “Gatekeepers” in Recent Enforcement Actions
  23 April 2014
  Alan H. Paley
  ,
  Jonathan R. Tuttle
  ,
  Ada Fernandez Johnson
• Supreme Court Gives SOX Whistleblower Provision Expansive Reading
  7 March 2014
  Jyotin Hamid
  ,
  Mary Beth Hogan
  ,
  Jonathan R. Tuttle
  ,
  Ada Fernandez Johnson
• SDNY Holds Anti-Retaliation Provision of Dodd-Frank Does Not Apply Extraterritorially
  24 October 2013
  Jyotin Hamid
  ,
  Mary Beth Hogan
  ,
  Colby A. Smith
  ,
  Jonathan R. Tuttle
  ,
  Ada Fernandez Johnson
• Circuit Court Adopts Narrow Interpretation of Anti-Retaliation Provision of Dodd-Frank Whistleblower Rules
  October 2013
  Financial Fraud Law Report
  Jyotin Hamid
  ,
  Mary Beth Hogan
  ,
  Jonathan R. Tuttle
  ,
  Ada Fernandez Johnson
• The Vilar Decision: Second Circuit Curtails the Territorial Reach of Criminal Liability under Section 10(b)
  October 2013
  Wall Street Lawyer
  Paul R. Berger
  ,
  Matthew E. Kaplan
  ,
  Colby A. Smith
  ,
  Jonathan R. Tuttle
  ,
  Bruce E. Yannett
  ,
  Ada Fernandez Johnson
• Second Circuit Curtails the Territorial Reach of Criminal Liability under Section 10(b)
  6 September 2013
  Paul R. Berger
  ,
  Matthew E. Kaplan
  ,
  Colby A. Smith
  ,
  Jonathan R. Tuttle
  ,
  Bruce E. Yannett
  ,
  Ada Fernandez Johnson
• Circuit Court Adopts Narrow Interpretation of Anti-Retaliation Provision of Dodd-Frank Whistleblower Rules
  19 July 2013
  Jyotin Hamid
  ,
  Mary Beth Hogan
  ,
  Jonathan R. Tuttle
  ,
  Ada Fernandez Johnson
• SEC Enforcement Action Targets Advisers to Private Equity Funds
  15 March 2013
  Paul R. Berger
  ,
  Kenneth J. Berman
  ,
  Jonathan R. Tuttle
  ,
  Ada Fernandez Johnson
  ,
  Eric R. Dinallo
  ,
  Mark P. Goodman
  ,
  Michael P. Harrell
  ,
  Shannon Rose Selden
• SEC 2013 Examination Priorities Focus on Private Fund Sponsors
  5 March 2013
  Eric R. Dinallo
  ,
  Kenneth J. Berman
  ,
  Michael P. Harrell
  ,
  Robert B. Kaplan
  ,
  Shannon Rose Selden
  ,
  Jonathan R. Tuttle
  ,
  Ada Fernandez Johnson
• Supreme Court Rejects Application of the Discovery Rule to Penalty Actions Brought under 28 U.S.C. 2462
  28 February 2013
  Paul R. Berger
  ,
  Colby A. Smith
  ,
  Jonathan R. Tuttle
  ,
  Robert B. Kaplan
  ,
  Ada Fernandez Johnson
  ,
  Bruce E. Yannett
• A Good Way to Level the Playing Field in SEC Civil Actions
  8 January 2013
  Law360
  Jonathan R. Tuttle
  ,
  Ada Fernandez Johnson
• Fund Directors Charged in Recent SEC Enforcement Case Targeting Valuation
  14 December 2012
  Paul R. Berger
  ,
  Jonathan R. Tuttle
  ,
  Ada Fernandez Johnson
  ,
  Eric R. Dinallo
  ,
  Mark P. Goodman
  ,
  Shannon Rose Selden
• Insider Trading Plans in Spotlight Again
  3 December 2012
  Jonathan R. Tuttle
  ,
  Ada Fernandez Johnson
  ,
  Matthew E. Kaplan
• Dodd-Frank Whistleblower Provision And Court's Broad Interpretation
  27 October 2012
  The Harvard Law School Forum on Corporate Governance and Financial Regulation
  Jyotin Hamid
  ,
  Mary Beth Hogan
  ,
  John S. Kiernan
  ,
  Colby A. Smith
  ,
  Jonathan R. Tuttle
  ,
  Ada Fernandez Johnson
• Court's Broad Interpretation of Dodd-Frank Whistleblower Provision Could Prompt More Employee Claims
  2 October 2012
  Jonathan R. Tuttle
  ,
  Colby A. Smith
  ,
  Mary Beth Hogan
  ,
  Jyotin Hamid
  ,
  Ada Fernandez Johnson
• Dodd-Frank Whistleblower Issues In Leshinsky And Asadi
  25 July 2012
  Law360
  Jyotin Hamid
  ,
  Mary Beth Hogan
  ,
  Jonathan R. Tuttle
  ,
  Ada Fernandez Johnson
• SEC 'Obey-the-Law' Injunctions Held Invalid
  23 July 2012
  The Harvard Law School Forum on Corporate Governance and Financial Regulation
  Paul R. Berger
  ,
  Colby A. Smith
  ,
  Jonathan R. Tuttle
  ,
  Bruce E. Yannett
  ,
  Ada Fernandez Johnson
• Dodd-Frank’s New Whistleblower Protections: Guidance on Extraterritoriality and Retroactivity
  17 July 2012
  Jyotin Hamid
  ,
  Mary Beth Hogan
  ,
  Jonathan R. Tuttle
  ,
  Ada Fernandez Johnson
• The Eleventh Circuit Casts Doubts On 'Obey The Law' Injunctions
  July 2012
  INSIGHTS
  Paul R. Berger
  ,
  Colby A. Smith
  ,
  Jonathan R. Tuttle
  ,
  Ada Fernandez Johnson
• FCPA Update
  June 2012, Vol.3, No.11
  Paul R. Berger
  ,
  Bruce E. Yannett
  ,
  Colby A. Smith
  ,
  Jonathan R. Tuttle
  ,
  Ada Fernandez Johnson
  ,
  Karolos Seeger
• SEC 'Obey-The-Law' Injunctions Held Invalid
  22 June 2012
  FCPA Professor blog
  Paul R. Berger
  ,
  Colby A. Smith
  ,
  Jonathan R. Tuttle
  ,
  Ada Fernandez Johnson
• SEC “Obey-The-Law” Injunctions Held Invalid
  8 June 2012
  Paul R. Berger
  ,
  Colby A. Smith
  ,
  Jonathan R. Tuttle
  ,
  Bruce E. Yannett
  ,
  Ada Fernandez Johnson
• The SEC Sharpens Its Talons in No-Fault Clawback Actions
  23 November 2011
  The Review of Securities & Commodities Regulation
  Jonathan R. Tuttle
  ,
  Ada Fernandez Johnson
• Director’s Failure to Investigate “Red Flags” Prompts SEC Enforcement Action That Should Serve as Warning to All Outside Directors
  24 May 2010
  Colby A. Smith
  ,
  Paul R. Berger
  ,
  Jonathan R. Tuttle
  ,
  Ada Fernandez Johnson
  ,
  John B. Missing
• The Private Equity Report
  Winter 2008
  Franci J. Blassberg
  ,
  Kevin Rinker
  ,
  Michael Diz
  ,
  Alan J. Davies
  ,
  James A. Kiernan III
  ,
  E. Drew Dutton
  ,
  Peter J. Loughran
  ,
  Margaret Andrews Davenport
  ,
  Jonathan R. Tuttle
  ,
  Ada Fernandez Johnson
  ,
  Nicholas F. Potter