Publications

• FCPA Update September 2018
  28 September 2018
  Kara Brockmeyer
  ,
  Andrew M. Levine
  ,
  Paul D. Rubin
  ,
  Philip Rohlik
  ,
  Colby A. Smith
  ,
  Andreas A. Glimenakis
  ,
  Rebecca Maria Urquiola
• Second Circuit Curbs FCPA application to some foreign participants in bribery
  September 2018
  Trade Security Journal
  Kara Brockmeyer
  ,
  Colby A. Smith
  ,
  Bruce E. Yannett
  ,
  Philip Rohlik
• FCPA Update August 2018
  Vol. 9, No. 13
  Kara Brockmeyer
  ,
  Dr. Thomas Schürrle
  ,
  Bruce E. Yannett
  ,
  Alexandre Bisch
  ,
  Frederick T. Davis
  ,
  Philip Rohlik
  ,
  Colby A. Smith
• FCPA Update July 2018
  Vol. 9, No. 12
  Andrew M. Levine
  ,
  Jane Shvets
  ,
  Bruce E. Yannett
  ,
  Philip Rohlik
  ,
  Colby A. Smith
• 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
• 4th Circ. Deals Blow To Securities Fraud Plaintiffs
  13 December 2017
  Law360
  Colby A. Smith
  ,
  Jonathan R. Tuttle
• 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
• 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
• Insider Trading & Disclosure Update - Vol. 3, Issue 1
  August 2016
  Matthew E. Kaplan
  ,
  Jonathan R. Tuttle
  ,
  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
• 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
• 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
• FCPA Update - September 2015
  Vol. 7, No. 2
  Frederick T. Davis
  ,
  Antoine F. Kirry
  ,
  Bruce E. Yannett
  ,
  Philip Rohlik
  ,
  Karolos Seeger
  ,
  Colby A. Smith
  ,
  Jane Shvets
• The “Yates Memorandum”: Has DOJ Really Changed Its Approach To White Collar Criminal Investigations and Individual Prosecutions?
  15 September 2015
  Helen V. Cantwell
  ,
  Matthew E. Fishbein
  ,
  Bruce E. Yannett
  ,
  David A. O'Neil
  ,
  Paul R. Berger
  ,
  Courtney M. Dankworth
  ,
  Eric Dinallo
  ,
  Mark P. Goodman
  ,
  Mary Beth Hogan
  ,
  Robert B. Kaplan
  ,
  Satish M. Kini
  ,
  Andrew M. Levine
  ,
  Michael B. Mukasey
  ,
  Jim Pastore
  ,
  Colby A. Smith
  ,
  Jonathan R. Tuttle
  ,
  Erich O. Grosz
  ,
  David Sarratt
• FCPA Update - August 2015
  Vol. 7, No. 1
  Bruce E. Yannett
  ,
  Philip Rohlik
  ,
  David Sarratt
  ,
  Andrew M. Levine
  ,
  David A. O'Neil
  ,
  Colby A. Smith
  ,
  Johanna N. Skrzypczyk
• In Omnicare, the Supreme Court Clarifies When Statements of Opinion Are Actionable Under Section 11 of the Securities Act
  26 March 2015
  Matthew E. Kaplan
  ,
  Gary W. Kubek
  ,
  Peter J. Loughran
  ,
  Maeve O'Connor
  ,
  Alan H. Paley
  ,
  Jonathan R. Tuttle
  ,
  Colby A. Smith
  ,
  Bruce E. Yannett
  ,
  Elliot Greenfield
• FCPA Update - October 2014
  Vol. 6, No. 3
  Andrew M. Levine
  ,
  Colby A. Smith
• FCPA Update - August 2014
  Vol. 6, No. 1
  Paul R. Berger
  ,
  Andrew M. Levine
  ,
  Colby A. Smith
  ,
  Bruce E. Yannett
• FCPA Update
  July 2014, Vol. 5, No. 12
  Helen V. Cantwell
  ,
  Andrew M. Levine
  ,
  Colby A. Smith
  ,
  Bruce E. Yannett
  ,
  Alan Kartashkin
  ,
  Dmitri V. Nikiforov
  ,
  Jane Shvets
• FCPA Update
  June 2014, Vol. 5, No. 11
  Paul R. Berger
  ,
  Andrew M. Levine
  ,
  Colby A. Smith
  ,
  Jonathan R. Tuttle
  ,
  Bruce E. Yannett
  ,
  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
  ,
  Colby A. Smith
  ,
  Jonathan R. Tuttle
  ,
  Bruce E. Yannett
  ,
  Elliot Greenfield
• 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
  ,
  David Sarratt
• FCPA Update
  May 2014, Vol. 5, No. 10
  Andrew M. Levine
  ,
  Colby A. Smith
  ,
  Bruce E. Yannett
• Second Circuit Further Limits Securities Claims Based on the Purchase of Foreign Securities
  8 May 2014
  Gary W. Kubek
  ,
  Maeve O'Connor
  ,
  Colby A. Smith
  ,
  Jonathan R. Tuttle
• Supreme Court to Review “Fraud on the Market” Presumption of Reliance in Securities Class Actions
  21 November 2013
  Mark P. Goodman
  ,
  John S. Kiernan
  ,
  Shannon Rose Selden
  ,
  William H. Taft V
  ,
  Gary W. Kubek
  ,
  Maeve O'Connor
  ,
  Colby A. Smith
• 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
• 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
• 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
• 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
  ,
  Bruce E. Yannett
• Supreme Court Rejects Proof of Materiality as Requirement for Certifying Securities Class Actions
  28 February 2013
  Gary W. Kubek
  ,
  Maeve O'Connor
  ,
  Colby A. Smith
• Court Finds FCPA's "Interstate Commerce" Requirement Satisfied by Foreign Emails That Touched U.S. Servers
  11 February 2013
  Colby A. Smith
  ,
  Jonathan R. Tuttle
  ,
  Bruce E. Yannett
  ,
  Erich O. Grosz
• U.S. Enforcement Agencies Issue Extensive New FCPA Guidance
  15 November 2012
  Bruce E. Yannett
  ,
  Mark P. Goodman
  ,
  Andrew M. Levine
  ,
  Erich O. Grosz
  ,
  Paul R. Berger
  ,
  Colby A. Smith
  ,
  Jonathan R. Tuttle
  ,
  Philip Rohlik
• 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
• FCPA Update
  October 2012, Vol.4, No.3
  Paul R. Berger
  ,
  Erich O. Grosz
  ,
  Samantha J. Rowe
  ,
  Bruce E. Yannett
  ,
  Colby A. Smith
  ,
  Lord Goldsmith KC
  ,
  Karolos Seeger
• 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
• Duty To Disclose SEC Wells Notices Rejected By Judge
  31 July 2012
  The Harvard Law School Forum on Corporate Governance and Financial Regulation
  Paul R. Berger
  ,
  Matthew E. Kaplan
  ,
  Alan H. Paley
  ,
  Colby A. Smith
  ,
  Jonathan R. Tuttle
• 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
• Southern District of New York Judge Rejects Claims Alleging a Duty to Disclose SEC Wells Notices
  3 July 2012
  Paul R. Berger
  ,
  Colby A. Smith
  ,
  Alan H. Paley
  ,
  Matthew E. Kaplan
  ,
  Jonathan R. Tuttle
• The Eleventh Circuit Casts Doubts On 'Obey The Law' Injunctions
  July 2012
  INSIGHTS
  Paul R. Berger
  ,
  Colby A. Smith
  ,
  Jonathan R. Tuttle
• FCPA Update
  June 2012, Vol.3, No.11
  Paul R. Berger
  ,
  Bruce E. Yannett
  ,
  Colby A. Smith
  ,
  Jonathan R. Tuttle
  ,
  Karolos Seeger
• SEC 'Obey-The-Law' Injunctions Held Invalid
  22 June 2012
  FCPA Professor blog
  Paul R. Berger
  ,
  Colby A. Smith
  ,
  Jonathan R. Tuttle
• SEC “Obey-The-Law” Injunctions Held Invalid
  8 June 2012
  Paul R. Berger
  ,
  Colby A. Smith
  ,
  Jonathan R. Tuttle
  ,
  Bruce E. Yannett
• U.S. Court Refuses to Allow Securities Case Against Chinese Company to Proceed as a Class Action Because its Securities Were Too Thinly Traded
  23 May 2012
  Colby A. Smith
  ,
  Philip Rohlik
  ,
  Tingting Wu
• Second Circuit Signals Support for the SEC’s Use of “Neither Admit Nor Deny” Language in Consent Settlements
  16 March 2012
  Paul R. Berger
  ,
  Colby A. Smith
  ,
  Jonathan R. Tuttle
  ,
  Bruce E. Yannett
• Absolute Activist: The Second Circuit Clarifies the Territorial Limits of Section 10(B) in Private Lawsuits
  2 March 2012
  Paul R. Berger
  ,
  Colby A. Smith
  ,
  Jonathan R. Tuttle
  ,
  Alan Kartashkin
  ,
  John B. Missing
• SEC Changes Policy on Settlement Language; “Neither Admit Nor Deny” Approach Narrowed
  9 January 2012
  Paul R. Berger
  ,
  Colby A. Smith
  ,
  Jonathan R. Tuttle
  ,
  Bruce E. Yannett
• Comverse Technologies Settles FCPA Charges Involving Israeli Subsidiary: Is It a Harbinger of More Israel-Focused Enforcement to Come?
  September 2011
  Financial Fraud Law Report
  Colby A. Smith
• Supreme Court Adopts Rule Curtailing Private Securities Fraud Actions against Outside Advisors Who Assist in the Preparation of Disclosures
  15 June 2011
  Maeve O'Connor
  ,
  Kenneth J. Berman
  ,
  John S. Kiernan
  ,
  Gary W. Kubek
  ,
  Peter J. Loughran
  ,
  Joseph P. Moodhe
  ,
  Colby A. Smith
• SEC Issues Final Rules Implementing New Whistleblower Program
  27 May 2011
  Paul R. Berger
  ,
  Matthew E. Kaplan
  ,
  Colby A. Smith
  ,
  Jonathan R. Tuttle
  ,
  Bruce E. Yannett
• FCPA Update
  April 2011, Vol. 2, No. 9
  Paul R. Berger
  ,
  Bruce E. Yannett
  ,
  Colby A. Smith
• Federal Monitorship Can Be More than a ‘Necessary Evil’ if Corporation Seizes Chance to Enhance Compliance Program
  21 March 2011
  Prevention of Current Liability Current Report, a BNA, Inc. publication
  Colby A. Smith
• FCPA Update
  November 2010, Vol. 2, No. 4
  Paul R. Berger
  ,
  Bruce E. Yannett
  ,
  Jonathan R. Tuttle
  ,
  Colby A. Smith
• U.S. Supreme Court Restricts Foreign Investors’ Access to U.S. Securities Laws in Morrison v. National Australia Bank, Ltd. – Will Congress Reinstate It?
  28 June 2010
  Colby A. Smith
  ,
  Jonathan R. Tuttle
• One Small Change by Judge Scheindlin to a Recent Seminal Opinion Could Be One Giant Leap for E-Discovery Cost Control
  1 June 2010
  Timothy K. Beeken
  ,
  Colby A. Smith
• 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
  ,
  John B. Missing
• Judge Scheindlin Amends New Opinion, Moves Away from Categorical Approach to Discovery Obligations
  20 January 2010
  Timothy K. Beeken
  ,
  Colby A. Smith
• Judge Scheindlin Revisits Zubulake, Where the Preservation and Production Waters Still Can Boil You
  15 January 2010
  Timothy K. Beeken
  ,
  Colby A. Smith
• Control Person Liability under the Foreign Corrupt Practices Act
  17 November 2009
  Andrews' Securities Litigation & Regulation Reporter
  Paul R. Berger
  ,
  Colby A. Smith
• Will Your Company Defend You?
  Third Quarter 2009
  Directors & Boards
  Robert F. Quaintance, Jr.
  ,
  Colby A. Smith
• FCPA Update
  September 2009, Vol. 1, No. 2
  Paul R. Berger
  ,
  Bruce E. Yannett
  ,
  Colby A. Smith
• Second Circuit to Computer Hackers: Insider Trading Laws Apply
  14 August 2009
  Matthew E. Kaplan
  ,
  Paul R. Berger
  ,
  Steven J. Slutzky
  ,
  Colby A. Smith
• U.S. Court Relieves Settling Corporation of Its Obligation to Advance Defense Costs of Non-Settling Director/Officer in Securities Class Action
  22 July 2009
  Robert F. Quaintance, Jr.
  ,
  Colby A. Smith
• Proposed Investor Protection Act of 2009 Promises Significant Regulatory Changes and Potentially Higher Costs for Broker-Dealers and Investment Advisors
  13 July 2009
  Joseph P. Moodhe
  ,
  Paul L. Lee
  ,
  Paul R. Berger
  ,
  Kenneth J. Berman
  ,
  Colby A. Smith
• Fraud Enforcement and Recovery Act Toughens Financial Fraud Laws and Promises More Rigorous Enforcement
  21 May 2009
  Colby A. Smith
  ,
  Bruce E. Yannett
  ,
  Jonathan R. Tuttle
• Recent SEIU Demand Letters Concerning Executive Pay Raise Key Considerations for Responding Boards of Directors
  22 April 2009
  John S. Kiernan
  ,
  Colby A. Smith
  ,
  Bruce E. Yannett
  ,
  Gary W. Kubek
• Delaware Dismisses Claims Alleging Failure to Monitor Risk: In Re Citigroup Inc. Shareholder Derivative Litigation
  27 February 2009
  William D. Regner
  ,
  Gary W. Kubek
  ,
  Andrew L. Bab
  ,
  Jeffrey J. Rosen
  ,
  Colby A. Smith
• What’s Next for the SEC?
  23 February 2009
  Paul R. Berger
  ,
  Kenneth J. Berman
  ,
  Colby A. Smith
  ,
  Jonathan R. Tuttle
  ,
  John B. Missing