Andrew J. Ceresney is a partner in the New York office and Co-Chair of the Litigation Department.
Mr. Ceresney represents public companies, financial ...
Read Full Biography
Publications
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DOJ Revises Policy to Incentivize Companies to Self-Report Even If They Cannot Meet All Voluntary Self-Disclosure Requirements
25 November 2024
Helen V. Cantwell
, Andrew J. Ceresney
, Andrew M. Levine
, David A. O'Neil
, Winston M. Paes
, Jane Shvets
, Douglas S. Zolkind
, Erich O. Grosz
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SEC Enforcement Actions Fall Significantly As Crypto and Text Message Cases Predominate
25 November 2024
Andrew J. Ceresney
, Charu A. Chandrasekhar
, Arian M. June
, Robert B. Kaplan
, Julie M. Riewe
, Kristin A. Snyder
, Jonathan R. Tuttle
, Mary Jo White
, Mark D. Flinn
, Philip A. Fortino
, Anna Moody
, Stephan J. Schlegelmilch
, Lauren K. Burns
, John Sullivan Baker
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FCPA Update October 2024
5 November 2024
Kara Brockmeyer
, Andrew M. Levine
, Winston M. Paes
, Philip Rohlik
, Anya Allen
, Andreas A. Glimenakis
, Zhiqi Wu
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Law360: A Look At Grewal's Record-Breaking Legacy After SEC Exit
4 November 2024
Law360
Andrew J. Ceresney
, Charu A. Chandrasekhar
, Julie M. Riewe
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SEC Charges Four Companies for Misleading Cyber Disclosures
28 October 2024
Andrew J. Ceresney
, Charu A. Chandrasekhar
, Luke Dembosky
, Erez Liebermann
, Benjamin R. Pedersen
, Julie M. Riewe
, Matt Kelly
, Anna Moody
, Kelly Donoghue
, Ciera Mandelsberg
, Noah L. Schwartz
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2025 SEC Division of Examinations Priorities
24 October 2024
Andrew J. Ceresney
, Charu A. Chandrasekhar
, Arian M. June
, Robert B. Kaplan
, Sheena Paul
, Marc Ponchione
, Julie M. Riewe
, Jeff Robins
, Kristin A. Snyder
, Jonathan R. Tuttle
, Philip A. Fortino
, Lauren P. Heller
, Anna Moody
, Stephan J. Schlegelmilch
, Ciera Mandelsberg
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SEC Announces Settled Charges Against Rimar Capital Entities and Owner for Defrauding Investors in “AI Washing” Scheme
11 October 2024
Andrew J. Ceresney
, Charu A. Chandrasekhar
, Avi Gesser
, Arian M. June
, Robert B. Kaplan
, Benjamin R. Pedersen
, Julie M. Riewe
, Kristin A. Snyder
, Jonathan R. Tuttle
, Mark D. Flinn
, Matt Kelly
, Anna Moody
, Sofia Squatriti Muno
, Cameron B. Wolfe
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FCPA Update September 2024
2 October 2024
Helen V. Cantwell
, Avi Gesser
, Andrew M. Levine
, David A. O'Neil
, Winston M. Paes
, Jane Shvets
, Douglas S. Zolkind
, Erich O. Grosz
, Andreas A. Glimenakis
, Elizabeth R. White
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Recent Settled Actions Reiterate SEC’s Broad Interpretation of
Rule 21F-17(a) Whistleblower Impediments
23 September 2024
Andrew J. Ceresney
, Charu A. Chandrasekhar
, Jyotin Hamid
, Arian M. June
, Robert B. Kaplan
, Jonathan F. Lewis
, Julie M. Riewe
, Kristin A. Snyder
, Jonathan R. Tuttle
, Tricia Bozyk Sherno
, Sharon Shaji
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SEC Charges Carl Icahn and Icahn Enterprises L.P. for Failing to Disclose Pledges of Securities
21 August 2024
Andrew J. Ceresney
, Morgan J. Hayes
, Matthew E. Kaplan
, Benjamin R. Pedersen
, Nicholas P. Pellicani
, Julie M. Riewe
, Jonathan R. Tuttle
, Victoria S. Li
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DOJ Launches Program Offering Financial Awards to White-Collar Whistleblowers
5 August 2024
Helen V. Cantwell
, Andrew J. Ceresney
, Arian M. June
, Andrew M. Levine
, David A. O'Neil
, Winston M. Paes
, Jane Shvets
, Mary Jo White
, Bruce E. Yannett
, Douglas S. Zolkind
, Philip Rohlik
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2024 Private Equity Midyear Outlook
August 2024
Christopher Anthony
, Katherine Ashton
, Dominic Blaxill
, Ezra Borut
, Geoffrey P. Burgess
, Andrew J. Ceresney
, Christopher Dortschy
, Jane Engelhardt
, Andrew Ford
, Andrew J. Gershon
, Mark P. Goodman
, Jyotin Hamid
, Morgan J. Hayes
, Peter J. Irwin
, Eric T. Juergens
, Arian M. June
, Robert B. Kaplan
, M. Natasha Labovitz
, Andrew M. Levine
, Sidney P. Levinson
, Jonathan F. Lewis
, Gregory J. Lyons
, Timothy McIver
, Frank Mitchell
, Maura Kathleen Monaghan
, Edwin Northover
, Brett M. Novick
, Sheena Paul
, Marc Ponchione
, Ryan T. Rafferty
, Julie M. Riewe
, Paul D. Rubin
, Scott B. Selinger
, Thomas Smith
, Kristin A. Snyder
, Rick Sofield
, Katherine Durnan Taylor
, Ramya S. Tiller
, Jonathan R. Tuttle
, Patricia Volhard
, Erica S. Weisgerber
, Jennifer Wheater
, Naomi Aoyama
, Alison E. Buckley-Serfass
, Brett Adam Bush
, Zhiyan Cao
, Jennifer R. Cestaro
, Robert T. Dura
, Paul Eastham
, Stuart Hammer
, Lauren P. Heller
, Jin-Hyuk Jang
, Wen-Wei Lai
, Michael P. McGuigan
, Melissa Runsten
, Tricia Bozyk Sherno
, Jacob W. Stahl
, John Young
, Ulysses Smith
, Kayleigh Anderson
, Hymie A. Anteby
, Jabari Benjamin
, Charles Cartiglia
, Josephine Chen
, Jordan Corrente Beck
, Tejas N. Dave
, Julia Glazer
, Michael C. Godbe
, Zoe Jacoby
, Yiran Ji
, Adriana Kranjac
, Paul D. Lowry
, Kaitlyn McGill
, Diana Moise
, Amy Pereira
, John M. Satira
, Eike Björn Weidner
, Keith Moshe
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FCPA Update July 2024
31 July 2024
Andrew M. Levine
, Karolos Seeger
, Alexandre Bisch
, Nestor D. Almeida
, Delia M. Arias De Leon
, Amaya Lefkowitz Driggs
, Fanny Gauthier
, Nathan R. Hogan
, Andrew H. Lee
, Kaitlyn McGill
, Lorena Rodriguez
, Paige Sferrazza
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Internal Accounting Controls Claim Rejected in SolarWinds Case
23 July 2024
Andrew J. Ceresney
, Charu A. Chandrasekhar
, Luke Dembosky
, Erez Liebermann
, Benjamin R. Pedersen
, Julie M. Riewe
, Paul M. Rodel
, Matt Kelly
, Anna Moody
, Alice Gu
, Talia Lorch
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FCPA Update June 2024
1 July 2024
David A. O'Neil
, Andrew M. Levine
, Winston M. Paes
, Jane Shvets
, Douglas S. Zolkind
, Carter Burwell
, Philip Rohlik
, Connor R. Crowley
, Hillary Hubley
, Zhiqi Wu
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Supreme Court Punches SEC APs Right in the Seventh Amendment
28 June 2024
Andrew J. Ceresney
, Charu A. Chandrasekhar
, Arian M. June
, Robert B. Kaplan
, Julie M. Riewe
, Kristin A. Snyder
, Jonathan R. Tuttle
, Philip A. Fortino
, Anna Moody
, Stephan J. Schlegelmilch
, Mark D. Flinn
, Suzanne Zakaria
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Incident Response Plans Are Now Accounting Controls? SEC Brings First-Ever Settled Cybersecurity Internal Controls Charges
20 June 2024
Andrew J. Ceresney
, Charu A. Chandrasekhar
, Luke Dembosky
, Avi Gesser
, Erez Liebermann
, Benjamin R. Pedersen
, Julie M. Riewe
, Matt Kelly
, Anna Moody
, Andreas A. Glimenakis
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SEC Targets AI Washing in Private Capital Markets: “Old School Fraud Using New School Buzzwords”
14 June 2024
Andrew J. Ceresney
, Charu A. Chandrasekhar
, Avi Gesser
, Julie M. Riewe
, Kristin A. Snyder
, Matt Kelly
, Suchita Mandavilli Brundage
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Fifth Circuit Banishes SEC Private Fund Adviser Rules to a Galaxy PFAR, PFAR Away…
6 June 2024
Jonathan Adler
, Lorna Bowen
, Andrew J. Ceresney
, Charu A. Chandrasekhar
, Robert B. Kaplan
, Marc Ponchione
, Julie M. Riewe
, Shannon Rose Selden
, Rebecca F. Silberstein
, Kristin A. Snyder
, Justin Storms
, Lauren P. Heller
, Anna Moody
, Sheena Paul
, Christine Liu
, Caroline H. Wallace
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FCPA Update May 2024
30 May 2024
Winston M. Paes
, Karolos Seeger
, Douglas S. Zolkind
, Philip Rohlik
, Aisling Cowell
, Andrew H. Lee
, Sophie Michalski
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FCPA Update April 2024
1 May 2024
Winston M. Paes
, Andrew M. Levine
, Douglas S. Zolkind
, Connor R. Crowley
, Andreas A. Glimenakis
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FCPA Update March 2024
1 April 2024
Helen V. Cantwell
, Andrew J. Ceresney
, Arian M. June
, David A. O'Neil
, Karolos Seeger
, Jane Shvets
, Mary Jo White
, Douglas S. Zolkind
, Erich O. Grosz
, Andrew H. Lee
, Sophie Michalski
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AI Enforcement Starts with Washing: The SEC Charges its First AI Fraud Cases
19 March 2024
Andrew J. Ceresney
, Charu A. Chandrasekhar
, Avi Gesser
, Arian M. June
, Robert B. Kaplan
, Julie M. Riewe
, Jeff Robins
, Kristin A. Snyder
, Jonathan R. Tuttle
, Philip A. Fortino
, Matt Kelly
, Anna Moody
, Stephan J. Schlegelmilch
, Gabriel A. Kohan
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Potential Legal Challenges to the SEC’s Climate Disclosure Rule
14 March 2024
Andrew J. Ceresney
, Eric T. Juergens
, Andrew M. Levine
, Benjamin R. Pedersen
, Paul M. Rodel
, Shannon Rose Selden
, Kristin A. Snyder
, Ulysses Smith
, Isabelle Glimcher
, Amy Pereira
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DOJ Announces Whistleblower Rewards Pilot Program
8 March 2024
Helen V. Cantwell
, Andrew J. Ceresney
, Arian M. June
, David A. O'Neil
, Jane Shvets
, Mary Jo White
, Douglas S. Zolkind
, Erich O. Grosz
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FCPA Update February 2024
1 March 2024
Kara Brockmeyer
, Andrew M. Levine
, Winston M. Paes
, Jane Shvets
, Philip Rohlik
, Andreas A. Glimenakis
, Zesemaiat Debessai Corino
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DOJ Announces Initiative to Combat AI-Assisted Crime
15 February 2024
Helen V. Cantwell
, Andrew J. Ceresney
, Avi Gesser
, Andrew M. Levine
, David A. O'Neil
, Winston M. Paes
, Jane Shvets
, Bruce E. Yannett
, Douglas S. Zolkind
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Private Equity Report: 2024 Outlook
February 2024
Christopher Anthony
, Katherine Ashton
, Andrew L. Bab
, Paul S. Bird
, Dominic Blaxill
, Ezra Borut
, Geoffrey P. Burgess
, Andrew J. Ceresney
, Charu A. Chandrasekhar
, Jennifer L. Chu
, Luke Dembosky
, E. Drew Dutton
, Jane Engelhardt
, Avi Gesser
, Andrew J. Gershon
, Nia I. Goodman
, David Grosgold
, Jyotin Hamid
, Ted Hassi
, Morgan J. Hayes
, Peter J. Irwin
, Eric T. Juergens
, Robert B. Kaplan
, M. Natasha Labovitz
, Jonathan F. Lewis
, Sidney P. Levinson
, Andrew M. Levine
, Erez Liebermann
, Timothy McIver
, Maura Kathleen Monaghan
, Edwin Northover
, Brett M. Novick
, Marc Ponchione
, Ryan T. Rafferty
, Natalie L. Reid
, Julie M. Riewe
, Kevin Rinker
, Samantha J. Rowe
, Paul D. Rubin
, Michael Schaper
, Kevin M. Schmidt
, Scott B. Selinger
, Aly Love (f/k/a Simons)
, Thomas Smith
, Kristin A. Snyder
, Steven J. Slutzky
, Ramya S. Tiller
, Patricia Volhard
, Erica S. Weisgerber
, Kyra K. Bromley
, Alison E. Buckley-Serfass
, Jennifer R. Cestaro
, Stuart Hammer
, Jin-Hyuk Jang
, Wen-Wei Lai
, Michael P. McGuigan
, Sheena Paul
, Melissa Runsten
, Tricia Bozyk Sherno
, Ulysses Smith
, Sergio Torres
, Elie J. Worenklein
, Adam Aukland-Peck
, Josephine Chen
, Perpétua B. Chéry
, Paul Eastham
, Isabelle Glimcher
, Yiran Ji
, Maryam Kanna
, Leah Martin
, Sophie Michalski
, Diana Moise
, David J. Swiedler
, Perri M. Weinstein
, Nathan R. Hogan
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FCPA Update January 2024
1 February 2024
Kara Brockmeyer
, Andrew J. Ceresney
, Andrew M. Levine
, David A. O'Neil
, Winston M. Paes
, Karolos Seeger
, Jane Shvets
, Bruce E. Yannett
, Douglas S. Zolkind
, Alexandre Bisch
, Erich O. Grosz
, Emily Lam
, Dr. Friedrich Popp
, Philip Rohlik
, Sarah Wolf
, Delia M. Arias De Leon
, Courtney Barger
, Amaya Lefkowitz Driggs
, Aisling Cowell
, Fanny Gauthier
, Andreas A. Glimenakis
, Andrew H. Lee
, Joseph Ptomey
, Lorena Rodriguez
, Paige Sferrazza
, Zhiqi Wu
, Nestor D. Almeida
, Kaitlyn McGill
, Grant Aubrey Simon
, Raphael Vim
, Theo Wilson
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SEC Brings Whistleblower Action Over Retail Client Agreements
25 January 2024
Kara Brockmeyer
, Andrew J. Ceresney
, Charu A. Chandrasekhar
, Arian M. June
, Robert B. Kaplan
, Julie M. Riewe
, Kristin A. Snyder
, Jonathan R. Tuttle
, Philip A. Fortino
, Anna Moody
, Stephan J. Schlegelmilch
, Cooper Yoo
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SDNY Whistleblower Pilot Program Incentivizes Self-Disclosure and Cooperation
16 January 2024
Helen V. Cantwell
, Andrew J. Ceresney
, Andrew M. Levine
, David A. O'Neil
, Winston M. Paes
, Jane Shvets
, Bruce E. Yannett
, Douglas S. Zolkind
, Erich O. Grosz
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NYU PCCE: Resisting Hindsight Bias: A Proposed Framework for CISO Liability
15 December 2023
NYU PCCE
Andrew J. Ceresney
, Charu A. Chandrasekhar
, Luke Dembosky
, Erez Liebermann
, Julie M. Riewe
, Anna Moody
, Andreas A. Glimenakis
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Resisting Hindsight Bias: A Proposed Framework for CISO Liability
11 December 2023
Andrew J. Ceresney
, Charu A. Chandrasekhar
, Luke Dembosky
, Erez Liebermann
, Julie M. Riewe
, Anna Moody
, Andreas A. Glimenakis
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FCPA Update November 2023
1 December 2023
Kara Brockmeyer
, Andrew M. Levine
, Julie M. Riewe
, Anna Moody
, Philip Rohlik
, Stephan J. Schlegelmilch
, Mark D. Flinn
, Amaya Lefkowitz Driggs
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CLS Blue Sky Blog: Debevoise Discusses SEC’s Division of Enforcement Year-End Results
30 November 2023
CLS Blue Sky Blog
Kara Brockmeyer
, Andrew J. Ceresney
, Robert B. Kaplan
, Julie M. Riewe
, Mary Jo White
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NYU PCCE: Hackers Turned Whistleblowers: SEC Cybersecurity Rules Weaponized Over Ransom Threat
29 November 2023
NYU PCCE
Andrew J. Ceresney
, Charu A. Chandrasekhar
, Luke Dembosky
, Avi Gesser
, Matthew E. Kaplan
, Erez Liebermann
, Benjamin R. Pedersen
, Steven J. Slutzky
, Jonathan R. Tuttle
, Matt Kelly
, Kelly Donoghue
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Hackers Turned Whistleblowers: SEC Cybersecurity Rules Weaponized Over Ransom Threat
20 November 2023
Andrew J. Ceresney
, Charu A. Chandrasekhar
, Luke Dembosky
, Avi Gesser
, Matthew E. Kaplan
, Erez Liebermann
, Benjamin R. Pedersen
, Steven J. Slutzky
, Jonathan R. Tuttle
, Matt Kelly
, Kelly Donoghue
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SEC’s Division of Enforcement Year-End Results Reflect Continuing Aggressive Approach to Enforcement and Remedies
20 November 2023
Kara Brockmeyer
, Andrew J. Ceresney
, Charu A. Chandrasekhar
, Arian M. June
, Robert B. Kaplan
, Julie M. Riewe
, Kristin A. Snyder
, Jonathan R. Tuttle
, Mary Jo White
, Philip A. Fortino
, Anna Moody
, Stephan J. Schlegelmilch
, Mark D. Flinn
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Law360: 2nd Circ. Holding Could Disrupt SEC Disgorgement Methods
16 November 2023
Law360
Andrew J. Ceresney
, Julie M. Riewe
, Stephan J. Schlegelmilch
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FCPA Update October 2023
1 November 2023
Kara Brockmeyer
, Andrew M. Levine
, David A. O'Neil
, Winston M. Paes
, Bruce E. Yannett
, Erich O. Grosz
, Philip Rohlik
, Andreas A. Glimenakis
, Caroline H. Wallace
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2024 SEC Division of Examinations Priorities
23 October 2023
Kara Brockmeyer
, Andrew J. Ceresney
, Charu A. Chandrasekhar
, Arian M. June
, Robert B. Kaplan
, Julie M. Riewe
, Kristin A. Snyder
, Jonathan R. Tuttle
, Philip A. Fortino
, Anna Moody
, Stephan J. Schlegelmilch
, Scott Woods
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DOJ Announces Six-Month “Safe Harbor” Policy for Acquisition-Related Disclosures
6 October 2023
Kara Brockmeyer
, Helen V. Cantwell
, Andrew J. Ceresney
, Josh A. Cohen
, Andrew M. Levine
, David A. O'Neil
, Winston M. Paes
, David Sarratt
, Jane Shvets
, Mary Jo White
, Bruce E. Yannett
, Douglas S. Zolkind
, Erich O. Grosz
, Philip Rohlik
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FCPA Update September 2023
2 October 2023
Karolos Seeger
, Bruce E. Yannett
, Aisling Cowell
, Andreas A. Glimenakis
, Andrew H. Lee
, Courtney Barger
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FCPA Update August 2023
5 September 2023
Kara Brockmeyer
, Andrew M. Levine
, Winston M. Paes
, Douglas S. Zolkind
, Madelaine J. Horn
, Nora Niazian
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NYU Compliance & Enforcement: SEC Proposes Rule to Eliminate or Neutralize Conflicts in the Use of “Predictive Data Analytics” Technologies
29 August 2023
NYU Compliance & Enforcement
Andrew J. Ceresney
, Charu A. Chandrasekhar
, Avi Gesser
, Jeff Robins
, Matt Kelly
, Gary E. Murphy
, Jarrett Lewis
, Robert B. Kaplan
, Marc Ponchione
, Sheena Paul
, Catherine Morrison
, Julie M. Riewe
, Kristin A. Snyder
, Mengyi Xu
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SEC Proposes Rule to Eliminate or Neutralize Conflicts in the Use of “Predictive Data Analytics” Technologies
14 August 2023
Andrew J. Ceresney
, Charu A. Chandrasekhar
, Avi Gesser
, Robert B. Kaplan
, Marc Ponchione
, Julie M. Riewe
, Jeff Robins
, Kristin A. Snyder
, Matt Kelly
, Gary E. Murphy
, Sheena Paul
, Jarrett Lewis
, Catherine Morrison
, Mengyi Xu
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SEC and CFTC Continue Targeting Off-Channel Communications at Financial Institutions
10 August 2023
Kara Brockmeyer
, Andrew J. Ceresney
, Charu A. Chandrasekhar
, Arian M. June
, Robert B. Kaplan
, Andrew M. Levine
, Julie M. Riewe
, Jonathan R. Tuttle
, Kristin A. Snyder
, Philip A. Fortino
, Stephan J. Schlegelmilch
, Alexa Busser Lopez
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FCPA Update July 2023
2 August 2023
Andrew M. Levine
, Karolos Seeger
, Aisling Cowell
, Andrew H. Lee
, Lorena Rodriguez
, Paige Sferrazza
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2023 Private Equity Midyear Outlook
27 July 2023
Christopher Anthony
, Katherine Ashton
, Dominic Blaxill
, Ezra Borut
, Geoffrey P. Burgess
, Andrew J. Ceresney
, Jeffrey P. Cunard
, E. Drew Dutton
, Jane Engelhardt
, Andrew Ford
, Andrew J. Gershon
, Mark P. Goodman
, Jyotin Hamid
, Ted Hassi
, Morgan J. Hayes
, Emily F. Huang
, Peter J. Irwin
, Eric T. Juergens
, Robert B. Kaplan
, Rafael Kariyev
, Meir D. Katz
, M. Natasha Labovitz
, Maurizio Levi-Minzi
, Andrew M. Levine
, Sidney P. Levinson
, Jonathan F. Lewis
, Timothy McIver
, Frank Mitchell
, Maura Kathleen Monaghan
, Edwin Northover
, Brett M. Novick
, Marc Ponchione
, Julie M. Riewe
, Shannon Rose Selden
, Steven J. Slutzky
, Thomas Smith
, Kristin A. Snyder
, J. Michael Snypes, Jr.
, Patrick Taylor
, Ramya S. Tiller
, Patricia Volhard
, Richard Ward
, Erica S. Weisgerber
, Alison E. Buckley-Serfass
, Brett Adam Bush
, Zhiyan Cao
, Robert T. Dura
, Stuart Hammer
, Megan McGuiggan
, Sheena Paul
, Tricia Bozyk Sherno
, Ulysses Smith
, Jacob W. Stahl
, Sergio Torres
, Jennifer Wheater
, Elie J. Worenklein
, Adam Aukland-Peck
, Colleen B. Bernaiche
, Charles Cartiglia
, Paul Eastham
, Jay E. Evans
, Sara Ewad
, Christopher Gossage
, Camila Isern
, Yiran Ji
, Maryam Kanna
, Rekha Korlipara
, Adriana Kranjac
, Samuel D. Krawiecz
, Harshil Mehta
, Gianni Pizzitola
, Stanley G. Seckler
, Sheng Shao
, Massy Vainshtein
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Law360: DC Circ. Ruling Could Mean FINRA Hearings Are On Thin Ice
25 July 2023
Law360
Andrew J. Ceresney
, Stephan J. Schlegelmilch
, Megan McGuiggan
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SEC Adopts Rules to Prohibit Fraud in Security-Based Swaps and Exertion of Undue Influence Over SBS CCOs, and Reopens Comment Period for Large SBS Position Reporting
29 June 2023
Andrew J. Ceresney
, Arian M. June
, Robert B. Kaplan
, Julie M. Riewe
, Jeff Robins
, Kristin A. Snyder
, Jonathan R. Tuttle
, Charu A. Chandrasekhar
, Philip A. Fortino
, Stephan J. Schlegelmilch
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NYU Compliance & Enforcement: Supreme Court Repudiates “Right-to-Control” Theory Under the Federal Wire Fraud Statute
23 May 2023
NYU Compliance & Enforcement
Helen V. Cantwell
, Andrew J. Ceresney
, Courtney M. Dankworth
, John Gleeson
, David A. O'Neil
, Winston M. Paes
, Bruce E. Yannett
, Douglas S. Zolkind
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Supreme Court Repudiates “Right-to-Control” Theory Under the Federal Wire Fraud Statute
15 May 2023
Helen V. Cantwell
, Andrew J. Ceresney
, Courtney M. Dankworth
, John Gleeson
, David A. O'Neil
, Winston M. Paes
, Bruce E. Yannett
, Douglas S. Zolkind
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SEC Staff Bulletin Provides Detailed Guidance for Broker-Dealers and Investment Advisers on the Care Obligations to Retail Investors
3 May 2023
Andrew J. Ceresney
, Arian M. June
, Robert B. Kaplan
, Marc Ponchione
, Julie M. Riewe
, Jeff Robins
, Kristin A. Snyder
, Jonathan R. Tuttle
, Charu A. Chandrasekhar
, Philip A. Fortino
, Sheena Paul
, Stephan J. Schlegelmilch
, Maryam Kanna
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FCPA Update April 2023
1 May 2023
Bruce E. Yannett
, Alexandre Bisch
, Erich O. Grosz
, Fanny Gauthier
, Andreas A. Glimenakis
, Ned Terrace
, Paige Sferrazza
-
2023 SEC Division of Examinations Priorities
14 February 2023
Andrew J. Ceresney
, Arian M. June
, Robert B. Kaplan
, Marc Ponchione
, Julie M. Riewe
, Jeff Robins
, Kristin A. Snyder
, Jonathan R. Tuttle
, Mary Jo White
, Charu A. Chandrasekhar
, Philip A. Fortino
, Sheena Paul
, Stephan J. Schlegelmilch
, Maryam Kanna
-
FCPA Update January 2023
1 February 2023
Kara Brockmeyer
, Andrew J. Ceresney
, Andrew M. Levine
, David A. O'Neil
, Winston M. Paes
, Karolos Seeger
, Jane Shvets
, Bruce E. Yannett
, Erich O. Grosz
, Philip Rohlik
, Douglas S. Zolkind
, Alexandre Bisch
, Emily Lam
, Dr. Friedrich Popp
, Aisling Cowell
, Fanny Gauthier
, Andreas A. Glimenakis
, Andrew Lee
, Joseph Ptomey
, Lorena Rodriguez
, Paige Sferrazza
, Cameron B. Wolfe
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The Review of Securities & Commodities Regulation: The SEC’s Use of Data Analytics in Examinations and Enforcement Investigations
25 January 2023
The Review of Securities & Commodities Regulation
Andrew J. Ceresney
, Kristin A. Snyder
, Charu A. Chandrasekhar
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Private Equity Report: 2023 Outlook
January 2023
Catherine Amirfar
, Christopher Anthony
, Katherine Ashton
, Jason Auerbach
, Dominic Blaxill
, Ezra Borut
, Kara Brockmeyer
, Geoffrey P. Burgess
, Lawrence K. Cagney
, Andrew J. Ceresney
, Jennifer L. Chu
, Alexander R. Cochran
, Eric Dinallo
, Christopher Dortschy
, E. Drew Dutton
, Jane Engelhardt
, Jyotin Hamid
, Ted Hassi
, Morgan J. Hayes
, Gareth Hughes
, Peter J. Irwin
, Mark Johnson
, Eric T. Juergens
, Rafael Kariyev
, Meir D. Katz
, Satish M. Kini
, M. Natasha Labovitz
, Henry Lebowitz
, Maurizio Levi-Minzi
, Andrew M. Levine
, Sidney P. Levinson
, Jonathan F. Lewis
, Marilyn A. Lion
, Timothy McIver
, John (Jay) Neukom
, Benjamin R. Pedersen
, Marc Ponchione
, Nicholas F. Potter
, Ryan T. Rafferty
, Julie M. Riewe
, Samantha J. Rowe
, Paul D. Rubin
, Scott B. Selinger
, Jane Shvets
, Steven J. Slutzky
, Patricia Volhard
, Erica S. Weisgerber
, Barbara N. Barath
, Alison E. Buckley-Serfass
, Zhiyan Cao
, Robert T. Dura
, Robert M. Fettman
, Caroline P. Geiger
, Andrew J. Gershon
, Jin-Hyuk Jang
, Stuart Hammer
, Kim T. Le
, Michael P. McGuigan
, Sheena Paul
, Tricia Bozyk Sherno
, Jennifer Wheater
, John Young
, Jeffrey P. Cunard
, Ulysses Smith
, Jennifer R. Cestaro
, Paul Eastham
, Isabel Espinosa de los Reyes
, Jay E. Evans
, Christopher Gossage
, Yiran Ji
, Samuel D. Krawiecz
, Chaim Lapp
, Stacy S. Lee
, Emily MacKay
, Ezra Newman
, Melissa Runsten
, Sergio Torres
, George Tan
, Tiffany Wu
, Emma Macfarlane
, Matthew Stromecki
, Massy Vainshtein
-
SEC Proposes Equity Market Structure Revamp and Regulation Best Execution
3 January 2023
Andrew J. Ceresney
, Julie M. Riewe
, Jeff Robins
, Charu A. Chandrasekhar
, Catherine Morrison
-
FCPA Update December 2022
30 December 2022
Kara Brockmeyer
, Andrew M. Levine
, Andreas A. Glimenakis
, Joseph Ptomey
-
AT&T Settles Long-Running Regulation FD Case with SEC
6 December 2022
Andrew J. Ceresney
, Eric T. Juergens
, Matthew E. Kaplan
, Benjamin R. Pedersen
, Julie M. Riewe
, Austin Poon
-
FCPA Update November 2022
2 December 2022
Kara Brockmeyer
, Andrew M. Levine
, Philip Rohlik
, Joseph Ptomey
, Andrew J. Ceresney
, Arian M. June
, Robert B. Kaplan
, Julie M. Riewe
, Kristin A. Snyder
, Jonathan R. Tuttle
, Charu A. Chandrasekhar
, Stephan J. Schlegelmilch
, Bailey K. Crawford
, Mark D. Flinn
-
SEC’s Division of Enforcement Year-End Results Provide Insight into Record-Breaking Year in Monetary Sanctions, Novel Actions, and Evolving Enforcement Agenda
21 November 2022
Kara Brockmeyer
, Andrew J. Ceresney
, Arian M. June
, Robert B. Kaplan
, Julie M. Riewe
, Kristin A. Snyder
, Jonathan R. Tuttle
, Mary Jo White
, Charu A. Chandrasekhar
, Stephan J. Schlegelmilch
, Bailey K. Crawford
, Mark D. Flinn
-
FCPA Update October 2022
1 November 2022
Andrew M. Levine
, Satish M. Kini
, Bruce E. Yannett
, Aseel M. Rabie
, Isabel Espinosa de los Reyes
-
FCPA Update September 2022
3 October 2022
Kara Brockmeyer
, Andrew M. Levine
, Winston M. Paes
, Jane Shvets
, Bruce E. Yannett
, Philip Rohlik
, Andreas A. Glimenakis
, Lorena Rodriguez
-
DOJ Offers Additional Guidance on Corporate Criminal Enforcement
19 September 2022
Kara Brockmeyer
, Helen V. Cantwell
, Andrew J. Ceresney
, John Gleeson
, Andrew M. Levine
, David A. O'Neil
, Winston M. Paes
, David Sarratt
, Jane Shvets
, Mary Jo White
, Bruce E. Yannett
, Philip Rohlik
, Douglas S. Zolkind
, Andreas A. Glimenakis
, Lorena Rodriguez
-
FCPA Update August 2022
31 August 2022
Satish M. Kini
, Andrew M. Levine
, Winston M. Paes
, Bruce E. Yannett
, Robert T. Dura
, Philip Rohlik
, Andreas A. Glimenakis
, Joseph Ptomey
-
FCPA Update June 2022
30 June 2022
Winston M. Paes
, Jane Shvets
, Bruce E. Yannett
, Philip Rohlik
, Karolos Seeger
, Aisling Cowell
, Andrew H. Lee
-
SEC Continues Focus on Lack of Whistleblower Carve Outs in Company Confidentiality Agreements
30 June 2022
Kara Brockmeyer
, Andrew J. Ceresney
, Arian M. June
, Robert B. Kaplan
, Julie M. Riewe
, Kristin A. Snyder
, Jonathan R. Tuttle
, Charu A. Chandrasekhar
, Stephan J. Schlegelmilch
, Mark D. Flinn
-
FCPA Update May 2022
2 June 2022
Kara Brockmeyer
, Satish M. Kini
, Andrew M. Levine
, Robert T. Dura
, Andreas A. Glimenakis
-
NYU Compliance & Enforcement: The SEC’s New Risk Alert Warns about the Use of Alternative Data
3 May 2022
NYU Compliance & Enforcement
Andrew J. Ceresney
, Avi Gesser
, Julie M. Riewe
, Kristin A. Snyder
, Jonathan R. Tuttle
, Charu A. Chandrasekhar
, Mengyi Xu
-
The SEC’s New Risk Alert Warns about the Use of Alternative Data
2 May 2022
Andrew J. Ceresney
, Avi Gesser
, Julie M. Riewe
, Kristin A. Snyder
, Jonathan R. Tuttle
, Charu A. Chandrasekhar
, Mengyi Xu
-
FCPA Update April 2022
28 April 2022
Winston M. Paes
, Bruce E. Yannett
, Antoine F. Kirry
, Alexandre Bisch
, Aymeric D. Dumoulin
, Fanny Gauthier
, Stephanie D. Thomas
-
Lessons from the Recent Enforcement Action Highlighting the SEC’s Broad Interpretation of Whistleblower-Related Rules
20 April 2022
Kara Brockmeyer
, Andrew J. Ceresney
, Arian M. June
, Robert B. Kaplan
, Julie M. Riewe
, Kristin A. Snyder
, Jonathan R. Tuttle
, Mary Jo White
, Charu A. Chandrasekhar
, Stephan J. Schlegelmilch
-
2022 SEC Division of Examinations Priorities
6 April 2022
Kara Brockmeyer
, Andrew J. Ceresney
, Arian M. June
, Robert B. Kaplan
, Marc Ponchione
, Julie M. Riewe
, Jeff Robins
, Kristin A. Snyder
, Jonathan R. Tuttle
, Charu A. Chandrasekhar
, Stephan J. Schlegelmilch
-
FCPA Update March 2022
1 April 2022
Kara Brockmeyer
, Andrew M. Levine
, Karolos Seeger
, Konstantin Bureiko
, Philip Rohlik
, Aisling Cowell
, Andreas A. Glimenakis
, Andrew H. Lee
-
FCPA Update February 2022
1 March 2022
Kara Brockmeyer
, Andrew M. Levine
, Bruce E. Yannett
, Philip Rohlik
, Douglas S. Zolkind
-
FCPA Update January 2022
1 February 2022
Kara Brockmeyer
, Andrew J. Ceresney
, Mark Johnson
, Andrew M. Levine
, David A. O'Neil
, Winston M. Paes
, Karolos Seeger
, Jane Shvets
, Bruce E. Yannett
, Alexandre Bisch
, Erich O. Grosz
, Dr. Friedrich Popp
, Philip Rohlik
, Douglas S. Zolkind
, Clara Correa
, Aisling Cowell
, Fanny Gauthier
, Andreas A. Glimenakis
, Martha Hirst
, Madelaine J. Horn
, Andrew H. Lee
, Lorena Rodriguez
, Jennifer Romero
, Caroline H. Wallace
-
2021/2022 Private Equity Year-End Review and Outlook
January 2022
Jonathan Adler
, Catherine Amirfar
, Christopher Anthony
, Katherine Ashton
, Andrew L. Bab
, Geoffrey P. Burgess
, Ezra Borut
, Andrew J. Ceresney
, Jennifer L. Chu
, Jeffrey P. Cunard
, Alexander R. Cochran
, E. Drew Dutton
, Jane Engelhardt
, Morgan J. Hayes
, Eric T. Juergens
, Maurizio Levi-Minzi
, Nicholas P. Pellicani
, Ryan T. Rafferty
, Julie M. Riewe
, Scott B. Selinger
, Marc Ponchione
, Thomas Smith
, Ramya S. Tiller
, Patricia Volhard
, Richard Ward
, Marshal L. Bozzo
, Christopher Dortschy
, Andrew J. Gershon
, Emily F. Huang
, Jennifer Wheater
, Dominic Blaxill
, Charles Cartiglia
, Robert T. Dura
, Matthew J. Sacco
, Sheng Shao
, Sergio Torres
, Charlotte A. Walkovik
, Paul Eastham
, Christopher Gossage
, Robert B. Kaplan
, Sheena Paul
, John Young
, Jin-Hyuk Jang
, Lukas Ott
, Andrew M. Levine
, Stuart Hammer
, Ulysses Smith
, Luke Dembosky
, Avi Gesser
, Peter J. Irwin
, Ina C. Popova
, Samantha J. Rowe
, M. Natasha Labovitz
, Sidney P. Levinson
, Paul D. Rubin
, Eric Dinallo
, Marilyn A. Lion
, Jacob W. Stahl
, Nicholas F. Potter
, Kim T. Le
, Adam Aukland-Peck
, Melissa Runsten
, Matthew Mrozek
, Michael C. Godbe
, Christel Y. Tham
, Lisa Wang Lachowicz
, Yiran Ji
-
FCPA Update December 2021
30 December 2021
Andrew M. Levine
, Winston M. Paes
, Douglas S. Zolkind
, Cara Ortiz
, Jennifer Romero
-
Harvard Corporate Governance Blog: SEC’s Transition in Enforcement Priorities
22 December 2021
Harvard Corporate Governance Blog
Mary Jo White
, Andrew J. Ceresney
, Jonathan R. Tuttle
-
SEC Proposes Significant Amendments Regarding 10b5-1 Trading Plans and Augmented Trading-Related Disclosure Requirements
16 December 2021
Andrew J. Ceresney
, Eric T. Juergens
, Matthew E. Kaplan
, Nicholas P. Pellicani
, Steven J. Slutzky
, Jonathan R. Tuttle
, Charu A. Chandrasekhar
-
FCPA Update November 2021
1 December 2021
Kara Brockmeyer
, Andrew M. Levine
, Winston M. Paes
, Jane Shvets
, Bruce E. Yannett
, Philip Rohlik
, Douglas S. Zolkind
, Nestor D. Almeida
, Lorena Rodriguez
-
SEC’s Division of Enforcement Year-End Results Announcement Reflects Transition in Enforcement Priorities and Chair Gensler’s Enforcement Agenda
29 November 2021
Kara Brockmeyer
, Andrew J. Ceresney
, Arian M. June
, Robert B. Kaplan
, Julie M. Riewe
, Jonathan R. Tuttle
, Mary Jo White
, Charu A. Chandrasekhar
, Stephan J. Schlegelmilch
, Mark D. Flinn
-
FCPA Update October 2021
1 November 2021
Kara Brockmeyer
, Andrew M. Levine
, Winston M. Paes
, Philip Rohlik
, Douglas S. Zolkind
, Delia M. Arias De Leon
-
FCPA Update September 2021
30 September 2021
Kara Brockmeyer
, Gareth Hughes
, Bruce E. Yannett
, Philip Rohlik
, Tingting Wu
, Andreas A. Glimenakis
-
FCPA Update August 2021
1 September 2021
Kara Brockmeyer
, Andrew M. Levine
, Winston M. Paes
, Douglas S. Zolkind
, Nestor D. Almeida
-
FCPA Update July 2021
30 July 2021
Karolos Seeger
, Jane Shvets
, Antoine F. Kirry
, Alexandre Bisch
, Aisling Cowell
, Aymeric D. Dumoulin
, Fanny Gauthier
, Andrew H. Lee
-
FCPA Update June 2021
30 June 2021
Kara Brockmeyer
, Andrew M. Levine
, David A. O'Neil
, Winston M. Paes
, Karolos Seeger
, Jane Shvets
, Bruce E. Yannett
, Carter Burwell
, Erich O. Grosz
, Dr. Friedrich Popp
, Douglas S. Zolkind
-
FCPA Update May 2021
1 June 2021
Andrew M. Levine
, Winston M. Paes
, Jane Shvets
, Bruce E. Yannett
, Philip Rohlik
, Taylor Booth
, Andreas A. Glimenakis
-
FCPA Update April 2021
30 April 2021
Andrew M. Levine
, Winston M. Paes
, Jane Shvets
, Philip Rohlik
, Douglas S. Zolkind
, Javier Alvarez-Oviedo
-
NYU Compliance & Enforcement Blog: Likely Policy Priorities of the Gensler SEC
23 April 2021
NYU Compliance & Enforcement Blog
Kara Brockmeyer
, Andrew J. Ceresney
, Arian M. June
, Robert B. Kaplan
, Julie M. Riewe
, Jeff Robins
, Jonathan R. Tuttle
, Charu A. Chandrasekhar
-
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
-
Likely Policy Priorities of the Gensler SEC
14 April 2021
Kara Brockmeyer
, Andrew J. Ceresney
, Arian M. June
, Robert B. Kaplan
, Julie M. Riewe
, Jeff Robins
, Jonathan R. Tuttle
, Charu A. Chandrasekhar
-
FCPA Update March 2021
31 March 2021
Kara Brockmeyer
, Gareth Hughes
, Andrew M. Levine
, Jane Shvets
, Winston M. Paes
, Philip Rohlik
, Douglas S. Zolkind
-
SEC Sues AT&T and Three Executives for Selective Disclosures to Analysts
9 March 2021
Andrew J. Ceresney
, Matthew E. Kaplan
, Jonathan R. Tuttle
-
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
, Charu A. Chandrasekhar
-
FCPA Update February 2021
26 February 2021
Andrew M. Levine
, Winston M. Paes
, Karolos Seeger
, Jane Shvets
, Robert Maddox
, Dr. Friedrich Popp
-
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
-
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
, Philip Rohlik
, Konstantin Bureiko
, Aisling Cowell
, Andreas A. Glimenakis
, 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
, Arian M. June
, Robert B. Kaplan
, Julie M. Riewe
, Jonathan R. Tuttle
-
2020/2021 Private Equity Year End Review and Outlook
7 January 2021
Jonathan Adler
, William D. Regner
, John W. Rife III
, Jennifer R. Cestaro
, Katherine Ashton
, E. Drew Dutton
, Jane Engelhardt
, Thomas Smith
, Ramya S. Tiller
, Christopher Anthony
, Kevin M. Schmidt
, Maurizio Levi-Minzi
, Geoffrey P. Burgess
, Dominic Blaxill
, Wen-Wei Lai
, Jyotin Hamid
, Morgan J. Hayes
, Steven J. Slutzky
, Richard Ward
, Jennifer Wheater
, Paul Eastham
, Peter A. Furci
, Rafael Kariyev
, Jay E. Evans
, Samuel D. Krawiecz
, Andrew L. Bab
, Jennifer L. Chu
, Paul D. Rubin
, Jacob W. Stahl
, Kim T. Le
, Jyotin Hamid
, Meir D. Katz
, Jonathan F. Lewis
, Tricia Bozyk Sherno
, Ezra Borut
, Jeffrey P. Cunard
, Marc Ponchione
, Kenneth J. Berman
, Patricia Volhard
, Christopher Dortschy
, Jin-Hyuk Jang
, John Young
, Andrew J. Ceresney
, Robert B. Kaplan
, Julie M. Riewe
, Sally Bergmann Hardesty
, Scott B. Selinger
, Stuart Hammer
, Luke Dembosky
, Avi Gesser
, Jim Pastore
, Megan K. Bannigan
, David H. Bernstein
, M. Natasha Labovitz
, Sidney P. Levinson
, Peter J. Irwin
, Malina Welman
, Paul S. Bird
-
SEC Adopts New Market Data Infrastructure Rules to Modernize the National Market System; Implications for Best Execution Obligations
7 January 2021
Andrew J. Ceresney
, Marc Ponchione
, Julie M. Riewe
, Jeff Robins
, Charu A. Chandrasekhar
-
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
-
The SEC’s Expanded Disgorgement Authority Complicates Investigations and Settlements
4 January 2021
Kara Brockmeyer
, Andrew J. Ceresney
, Arian M. June
, Robert B. Kaplan
, Julie M. Riewe
, Jonathan R. Tuttle
, Mary Jo White
, Charu A. Chandrasekhar
, Mark D. Flinn
-
FCPA Update December 2020
31 December 2020
Kara Brockmeyer
, Andrew M. Levine
, Jane Shvets
, Philip Rohlik
, Andreas Constantine Pavlou
, Valerie A. Zuckerman
-
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
, 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
, Gareth Hughes
, Matthew E. Kaplan
, Satish M. Kini
, Peter J. Loughran
, Jonathan R. Tuttle
, Philip Rohlik
, Tingting Wu
-
FCPA Update November 2020
30 November 2020
Andrew M. Levine
, Jane Shvets
, Andreas A. Glimenakis
-
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
-
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
, 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
, Mark D. Flinn
-
FCPA Update October 2020
30 October 2020
Andrew M. Levine
, Jane Shvets
, Bruce E. Yannett
, Andreas A. Glimenakis
-
Insufficient Internal Controls Result in SEC Enforcement in Connection with Rule 10b5-1 Plan
23 October 2020
Andrew J. Ceresney
, Morgan J. Hayes
, Paul M. Rodel
, Steven J. Slutzky
, Jonathan R. Tuttle
-
FCPA Update September 2020
1 October 2020
Kara Brockmeyer
, Andrew M. Levine
, Karolos Seeger
, Bruce E. Yannett
, Philip Rohlik
-
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
-
Compliance & Enforcement: SEC Brings Enforcement Action Against Investment Adviser for Section 13 Beneficial Ownership Reporting Failures
23 September 2020
Compliance & Enforcement
Andrew J. Ceresney
, Matthew E. Kaplan
, Nicholas P. Pellicani
, Robert B. Kaplan
, Julie M. Riewe
, Jonathan R. Tuttle
-
SEC Brings Enforcement Action Against Investment Adviser for Section 13 Beneficial Ownership Reporting Failures
21 September 2020
Andrew J. Ceresney
, Matthew E. Kaplan
, Robert B. Kaplan
, Julie M. Riewe
, Jonathan R. Tuttle
, Nicholas P. Pellicani
-
FCPA Update August 2020
31 August 2020
Kara Brockmeyer
, Karolos Seeger
, Jane Shvets
, Bruce E. Yannett
, Alexandre Bisch
, Andreas A. Glimenakis
, Dr. Friedrich Popp
, Stephanie D. Thomas
-
2020 Private Equity Midyear Review and Outlook
31 July 2020
Jonathan Adler
, Christopher Anthony
, Megan K. Bannigan
, David H. Bernstein
, Kenneth J. Berman
, Paul S. Bird
, Ezra Borut
, Geoffrey P. Burgess
, Jennifer R. Cestaro
, Jennifer L. Chu
, Andrew J. Ceresney
, Jeffrey P. Cunard
, Peter A. Furci
, Morgan J. Hayes
, Peter J. Irwin
, Robert B. Kaplan
, Rafael Kariyev
, M. Natasha Labovitz
, Andrew M. Levine
, Sidney P. Levinson
, Nicole Levin Mesard
, Marc Ponchione
, Julie M. Riewe
, Edward M. Rishty
, Kevin M. Schmidt
, Shannon Rose Selden
, Scott B. Selinger
, Steven J. Slutzky
, Thomas Smith
, Ramya S. Tiller
, Patricia Volhard
, Richard Ward
, Michael P. McGuigan
, Samuel D. Krawiecz
, Stuart Hammer
, Dominic Blaxill
, Christopher Dortschy
, Paul Eastham
, Jin-Hyuk Jang
, Jennifer Wheater
, John Young
, Almas Daud
, Paul Eastham
, Jay E. Evans
, Samuel D. Krawiecz
, Wen-Wei Lai
-
FCPA Update July 2020
31 July 2020
Kara Brockmeyer
, Andrew M. Levine
, Bruce E. Yannett
, Jane Shvets
, Philip Rohlik
-
Law360: 5 Ways To Mitigate Whistleblower Risk During COVID-19
8 July 2020
Law360
Arian M. June
, Andrew J. Ceresney
, Suzanne Zakaria
-
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
, Philip Rohlik
-
Law360: SEC's Insider Info Case Shows Perils Of Portfolio Co. Trading
3 July 2020
Law360
Andrew J. Ceresney
, Julie M. Riewe
, Jonathan R. Tuttle
-
FCPA Update June 2020
30 June 2020
Andrew M. Levine
, Dr. Thomas Schürrle
, Karolos Seeger
, Jane Shvets
, Dr. Friedrich Popp
, Stephanie D. Thomas
-
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
, Valerie A. Zuckerman
-
DOJ Updates Guidance on Corporate Compliance Programs
8 June 2020
Kara Brockmeyer
, Andrew J. Ceresney
, Andrew M. Levine
, Jane Shvets
, Bruce E. Yannett
, Erich O. Grosz
-
FCPA Update May 2020
29 May 2020
Andrew M. Levine
, Karolos Seeger
, Aisling Cowell
-
SEC to Fund Managers with Access to MNPI: Trade in Portfolio Company Securities at Your Peril
28 May 2020
Kenneth J. Berman
, Andrew J. Ceresney
, Arian M. June
, Matthew E. Kaplan
, Robert B. Kaplan
, Marc Ponchione
, Julie M. Riewe
, Jonathan R. Tuttle
-
FCPA Update April 2020
30 April 2020
Kara Brockmeyer
, Andrew M. Levine
, Philip Rohlik
-
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
, Suzanne Zakaria
-
FCPA Update March 2020
31 March 2020
-
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
-
FCPA Update February 2020
28 February 2020
Kara Brockmeyer
, Andrew J. Ceresney
, Andrew M. Levine
, David A. O'Neil
, Dr. Thomas Schürrle
, Karolos Seeger
, Jane Shvets
, Bruce E. Yannett
, Erich O. Grosz
, Alexandre Bisch
, Philip Rohlik
, Aisling Cowell
, Andreas A. Glimenakis
, Martha Hirst
, Andrew H. Lee
, Gabriel Silva
, Stephanie D. Thomas
, Suzanne Zakaria
, Valerie A. Zuckerman
-
FCPA Update January 2020
31 January 2020
Kara Brockmeyer
, Andrew J. Ceresney
, Andrew M. Levine
, David A. O'Neil
, Dr. Thomas Schürrle
, Karolos Seeger
, Jane Shvets
, Bruce E. Yannett
, Erich O. Grosz
, Alexandre Bisch
, Philip Rohlik
, Aisling Cowell
, Andreas A. Glimenakis
, Martha Hirst
, Andrew H. Lee
, Dr. Friedrich Popp
, Gabriel Silva
, Stephanie D. Thomas
, Suzanne Zakaria
, Valerie A. Zuckerman
-
2020 OCIE Priorities: Private Equity Remains Area of Interest, Focus on Retail and New SEC and Market-Wide Developments
15 January 2020
Kenneth J. Berman
, Andrew J. Ceresney
, Luke Dembosky
, Robert B. Kaplan
, Jim Pastore
, Julie M. Riewe
, Jeff Robins
, Jonathan R. Tuttle
-
FCPA Update December 2019
30 December 2019
Kara Brockmeyer
, Andrew M. Levine
, Dr. Thomas Schürrle
, Dr. Friedrich Popp
, Suzanne Zakaria
-
2019/2020 Private Equity Year-End Review and Outlook
19 December 2019
Jonathan Adler
, Christopher Anthony
, Kenneth J. Berman
, Lorna Bowen
, Andrew J. Ceresney
, Alan J. Davies
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FCPA Update November 2019
26 November 2019
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SEC’s Division of Enforcement 2019 Annual Report Presents Strong Enforcement Results
7 November 2019
Kara Brockmeyer
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FCPA Update October 2019
31 October 2019
Kara Brockmeyer
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Accounting and Financial Reporting Enforcement Round-Up
28 October 2019
Andrew J. Ceresney
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FCPA Update September 2019
30 September 2019
Kara Brockmeyer
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Law360: Drugmaker Fine Shows SEC's Renewed Disclosure Focus
30 August 2019
Law360
Andrew J. Ceresney
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FCPA Update August 2019
30 August 2019
Kara Brockmeyer
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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
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FCPA Update July 2019
31 July 2019
Kara Brockmeyer
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, David A. O'Neil
, Alexandre Bisch
, Philip Rohlik
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2019 Private Equity Midyear Review and Outlook
23 July 2019
Jonathan Adler
, Christopher Anthony
, Kenneth J. Berman
, Andrew J. Ceresney
, Jeffrey P. Cunard
, Andrew Ford
, Peter A. Furci
, Morgan J. Hayes
, Robert B. Kaplan
, Rafael Kariyev
, Julie M. Riewe
, John W. Rife III
, Shannon Rose Selden
, Scott B. Selinger
, Thomas Smith
, Steven J. Slutzky
, Ramya S. Tiller
, Patricia Volhard
, Jin-Hyuk Jang
, Michael P. McGuigan
, John Young
, Almas Daud
, Samuel D. Krawiecz
, Felix Paterson
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FCPA Update June 2019
28 June 2019
Andrew M. Levine
, Philip Rohlik
, Dr. Thomas Schürrle
, Dr. Friedrich Popp
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House Financial Services Committee Considers Legislation that Would Make SEC Waivers More Difficult for Parties Settling with the Commission
24 June 2019
Kenneth J. Berman
, Kara Brockmeyer
, Andrew J. Ceresney
, Matthew E. Kaplan
, Robert B. Kaplan
, Julie M. Riewe
, Jonathan R. Tuttle
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FCPA Update May 2019
30 May 2019
Kara Brockmeyer
, Andrew M. Levine
, Karolos Seeger
, Jane Shvets
, Jonathan R. Tuttle
, Philip Rohlik
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Law360: DC Circ. Gives New Meaning To 'Willful' In Securities Statutes
14 May 2019
Law360
Mary Jo White
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District Court Opinion Criticizes Government “Outsourcing” of Investigations
6 May 2019
Helen V. Cantwell
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DOJ Updates Guidance on Evaluating Corporate Compliance Programs
3 May 2019
Kara Brockmeyer
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FCPA Update April 2019
30 April 2019
Karolos Seeger
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Law360: What SEC Exam Trends Mean For Asset Managers
26 April 2019
Law360
Kenneth J. Berman
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U.S. Supreme Court Sides with SEC in Interpreting “Scheme Liability”
29 March 2019
Kara Brockmeyer
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, Julie M. Riewe
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FCPA Update March 2019
28 March 2019
Bruce E. Yannett
, Andrew M. Levine
, Jane Shvets
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, Sandy Tomasik
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FCPA Update February 2019
28 February 2019
Kara Brockmeyer
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FCPA Update January 2019
31 January 2019
Kara Brockmeyer
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, Jane Shvets
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, Bruce E. Yannett
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Nissan SEC Inquiry Highlights Uncertainty for Non-U.S. Issuers of ADRs
31 January 2019
James C. Scoville
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, Vera Losonci
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, Andrew J. Ceresney
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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
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Failure to Present GAAP Measures with “Equal or Greater Prominence” Brings Swift SEC Enforcement Action
10 January 2019
Kara Brockmeyer
, Andrew J. Ceresney
, Matthew E. Kaplan
, Paul M. Rodel
, Mary Jo White
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OCIE’s 2019 Priorities Focus on Retail, But PE Managers Remain in Examiners’ Sights
9 January 2019
Jonathan Adler
, Kenneth J. Berman
, Andrew J. Ceresney
, Luke Dembosky
, Robert B. Kaplan
, Jim Pastore
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, Jonathan R. Tuttle
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FCPA Update December 2018
20 December 2018
Kara Brockmeyer
, Andrew M. Levine
, Philip Rohlik
, Javier Alvarez-Oviedo
, Sarah Wolf
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SEC Enforcement Against Private Equity Advisers Continues
18 December 2018
Jonathan Adler
, Kenneth J. Berman
, Andrew J. Ceresney
, Robert B. Kaplan
, Julie M. Riewe
, Rebecca F. Silberstein
, Jonathan R. Tuttle
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FCPA Update November 2018
30 November 2018
Kara Brockmeyer
, Andrew M. Levine
, Bruce E. Yannett
, Philip Rohlik
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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
, Arian M. June
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The SEC/FDA Nexus: Best Practices for Publicly Traded Life Sciences Companies
19 November 2018
Bloomberg Law
Andrew J. Ceresney
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A Strong Year For SEC Enforcement
6 November 2018
Law360
Mary Jo White
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SEC’s Division of Enforcement Issues 2018 Annual Report
5 November 2018
Kara Brockmeyer
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Debevoise & Plimpton on the SEC Enforcement Division’s 2018 Annual Report
2 November 2018
CLS Blue Sky Blog
Mary Jo White
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FCPA Update October 2018
31 October 2018
Kara Brockmeyer
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FCPA Update September 2018
28 September 2018
Kara Brockmeyer
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FCPA Update August 2018
Vol. 9, No. 13
Kara Brockmeyer
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2018 Private Equity Midyear Review and Outlook
9 August 2018
Jonathan Adler
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FCPA Update July 2018
Vol. 9, No. 12
Andrew M. Levine
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FCPA Update June 2018
Vol. 9, No. 11
Andrew M. Levine
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Supreme Court Holds Appointment of SEC’s In-House Judges Unconstitutional
25 June 2018
Kara Brockmeyer
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, Julie M. Riewe
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FCPA Update May 2018
Vol. 9, No. 10
Kara Brockmeyer
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Banking Regulators’ Examination Authority Does Not Override Attorney-Client Privilege
16 May 2018
Mary Jo White
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DOJ's New Policy on Coordination of Corporate Resolutions Aims to Reduce “Piling On”
11 May 2018
Kara Brockmeyer
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Accounting & Financial Reporting Enforcement Round-Up
5 May 2018
Issue
Andrew J. Ceresney
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FCPA Update April 2018
Vol. 9, No. 9
Kara Brockmeyer
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Regulators Keep the Focus on Firms’ SAR Obligations
12 April 2018
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FCPA Update March 2018
Vol. 9, No. 8
Paul R. Berger
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FCPA Update February 2018
Vol. 9, No. 7
Kara Brockmeyer
, Andrew J. Ceresney
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, Jane Shvets
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Supreme Court Clarifies Scope of Dodd-Frank’s Whistleblower Protections
22 February 2018
Kara Brockmeyer
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OCIE 2018 Examination Priorities Focus on Retail, but Private Fund Sponsors Still in Crosshairs
13 February 2018
Jonathan Adler
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SEC’s Division of Enforcement Announces Self-Reporting Program for Advisers Who Failed to Disclose Conflicts in Share Class Selection
13 February 2018
Kenneth J. Berman
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FCPA Update January 2018
Vol. 9, No. 6
Kara Brockmeyer
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, David A. O'Neil
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, Bruce E. Yannett
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Accounting & Financial Reporting Enforcement Round-Up
Issue 4, January 2018
Andrew J. Ceresney
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Federal Reserve Proposes Guidance on Effective Management
11 January 2018
Helen V. Cantwell
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FCPA Update December 2017
Vol. 9, No. 5
Kara Brockmeyer
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2018 Private Equity Review and Outlook
21 December 2017
Jonathan Adler
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Oral Downloads of Interview Memoranda to Government Regulators Waive Work Product Protection
15 December 2017
Kara Brockmeyer
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France Announces First-Ever Deferred Prosecution Agreement
11 December 2017
Kara Brockmeyer
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DOJ Announces a Revised FCPA Corporate Enforcement Policy
30 November 2017
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FCPA Update November 2017
Vol. 9, No. 4
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FCPA Update October 2017
Vol. 9, No. 3
Kara Brockmeyer
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FCPA Update September 2017
Vol. 9, No. 2
Kara Brockmeyer
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Accounting & Financial Reporting Enforcement Round-Up
Issue 3, September 2017
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SEC Leadership Discusses Continuing Priorities
8 September 2017
Kara Brockmeyer
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FCPA Update August 2017
Vol. 9, No. 1
Kara Brockmeyer
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FCPA Update July 2017
Vol. 8, No. 12
Bruce E. Yannett
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, Jane Shvets
, Philip Rohlik
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FCPA Update June 2017
Vol. 8, No. 11
Bruce E. Yannett
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The Impact Of The Kokesh Decision On Disgorgement For Conduct Within The Statute Of Limitations
29 June 2017
Bloomberg BNA Securities & Capital Markets
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Accounting & Financial Reporting Enforcement Round-Up
Issue 2, June 2017
Andrew J. Ceresney
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What Kokesh V. SEC Means For Enforcement Actions
8 June 2017
Law 360
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U.S. Supreme Court Holds SEC Disgorgement Is a Penalty Subject to a Five-Year Statute of Limitations
7 June 2017
Mary Jo White
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FCPA Update May 2017
Vol. 8, No. 10
Bruce E. Yannett
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Individual Accountability: Not Always Accomplished Through Enforcement
19 May 2017
New York Law Journal
Mary Jo White
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FCPA Update April 2017
Vol. 8, No. 9
Bruce E. Yannett
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Financial CHOICE Act 2.0: Implications for the SEC and Capital Markets
25 April 2017
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Accounting & Financial Reporting Enforcement Round-Up
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Ninth Circuit Widens Split Over Application of Dodd-Frank’s Whistleblower Protections
13 March 2017
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Emerging Enforcement Trends and Other Topics
13 September 2017
PricewaterhouseCoopers LLP
PwC Executive Briefing on Regulatory Enforcement: What We Can Learn From the First 180 Days About the Direction of the New Administration
New York, New York
Speaking Engagements
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White Collar Criminal Law Track
10 August 2017
Michael Byowitz, Wachtell
American Bar Association
New York, New York
Speaking Engagements
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