Jonathan Tuttle, managing partner of the Washington, D.C. office, is a member of the firm’s Litigation Department. He has represented public companies, regulated institutions, boards of directors, audit and special committees of boards and individual directors, officers and employees in enforcement investigations and proceedings brought by the Securities and Exchange Commission, the Department of Justice, FINRA and the PCAOB, as well as in securities class actions, shareholder derivative suits, internal corporate investigations, and a variety of other securities and finance-related litigation and regulatory matters.
Read Full Biography
Publications
-
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
-
Debevoise & Plimpton Special Committee Report Issue 5
January 2023
Andrew L. Bab
, Michael Diz
, Gregory V. Gooding
, Elliot Greenfield
, Emily F. Huang
, Jonathan E. Levitsky
, Sue Meng
, Maeve O'Connor
, William D. Regner
, Jeffrey J. Rosen
, Shannon Rose Selden
, Jonathan R. Tuttle
, Caitlin Gibson
, Erik J. Andrén
, Matthew Ryan
-
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
, James B. Amler
, Charu A. Chandrasekhar
, Stephan J. Schlegelmilch
, Bailey K. Crawford
, Mark D. Flinn
, Berk Guler
-
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
, James B. Amler
, Charu A. Chandrasekhar
, Stephan J. Schlegelmilch
, Bailey K. Crawford
, Mark D. Flinn
, Berk Guler
-
Law360: Insider Trading Enforcement Against Lawmakers Is Growing
3 November 2022
Law360
Jonathan R. Tuttle
, Anna Moody
, Berk Guler
-
Insider Trading Disclosure Update - Vol. 8, Issue 1
29 September 2022
Matthew E. Kaplan
, Benjamin R. Pedersen
, Jonathan R. Tuttle
, Anna Moody
, Katherine Cappeller
, Mark D. Flinn
, Berk Guler
, Austin Poon
, Ashley Yoon
-
Debevoise & Plimpton Special Committee Report Issue 4
August 2022
Andrew L. Bab
, Michael Diz
, Gregory V. Gooding
, Elliot Greenfield
, Emily F. Huang
, Jonathan E. Levitsky
, Sue Meng
, Maeve O'Connor
, William D. Regner
, Jeffrey J. Rosen
, Shannon Rose Selden
, Jonathan R. Tuttle
, Erik J. Andrén
-
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
-
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
-
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
, Scott M. Caravello
, Stephen Petraeus
-
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
, James B. Amler
, Charu A. Chandrasekhar
, Stephan J. Schlegelmilch
, Stephen Petraeus
-
Debevoise & Plimpton Special Committee Report Issue 3
February 2022
Andrew L. Bab
, Michael Diz
, Gregory V. Gooding
, Elliot Greenfield
, Emily F. Huang
, Jonathan E. Levitsky
, Sue Meng
, Maeve O'Connor
, William D. Regner
, Jeffrey J. Rosen
, Shannon Rose Selden
, Jonathan R. Tuttle
-
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 Major Amendments to Share Repurchase Disclosures
17 December 2021
Eric T. Juergens
, Matthew E. Kaplan
, Steven J. Slutzky
, Jonathan R. Tuttle
, Charu A. Chandrasekhar
-
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
-
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
, James B. Amler
, Charu A. Chandrasekhar
, Stephan J. Schlegelmilch
, Scott M. Caravello
, Mark D. Flinn
-
Debevoise & Plimpton Special Committee Report Issue 2
September 2021
Andrew L. Bab
, Michael Diz
, Gregory V. Gooding
, Elliot Greenfield
, Emily F. Huang
, Jonathan E. Levitsky
, Sue Meng
, Maeve O'Connor
, William D. Regner
, Jeffrey J. Rosen
, Shannon Rose Selden
, Jonathan R. Tuttle
-
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
, James B. Amler
-
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
-
Introducing the Debevoise & Plimpton Special Committee Report
7 April 2021
Michael Diz
, Gregory V. Gooding
, Jonathan E. Levitsky
, Maeve O'Connor
, William D. Regner
, Jeffrey J. Rosen
, Jonathan R. Tuttle
, Emily F. Huang
-
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
, James B. Amler
, Charu A. Chandrasekhar
, 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
-
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
-
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
-
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
, William Y. Chua
, Gareth Hughes
, Matthew E. Kaplan
, Satish M. Kini
, Peter J. Loughran
, Jonathan R. Tuttle
, Philip Rohlik
, Tingting Wu
-
Insider Trading Disclosure Update - Vol. 7, Issue 1
25 November 2020
Matthew E. Kaplan
, Jonathan R. Tuttle
, Morgan J. Hayes
, Steven J. Slutzky
, Mark D. Flinn
, Benjamin R. Pedersen
-
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
, 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
, 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
-
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
-
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
-
Bloomberg Tax: Key Accounting and Financial Reporting Risks Arising From the Covid-19 Pandemic
26 July 2020
Bloomberg Tax
Mark D. Flinn
, Jonathan R. Tuttle
-
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
, 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
-
Bloomberg Tax: INSIGHT: Key Accounting and Financial Reporting Risks Arising From the Covid-19 Pandemic
26 June 2020
Bloomberg Tax
Jonathan R. Tuttle
, Mark D. Flinn
-
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
-
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
-
Thinking About a New or Updated Non-GAAP Financial Measure for COVID-19? Look Before You Leap.
17 April 2020
Kara Brockmeyer
, Matthew E. Kaplan
, Jonathan F. Lewis
, Paul M. Rodel
, Jeffrey E. Ross
, Sunil William Savkar
, Jonathan R. Tuttle
-
COVID-19 and Private Equity: Portfolio Company and Fund Governance Practices in the Time of COVID
8 April 2020
Robert B. Kaplan
, M. Natasha Labovitz
, Sidney P. Levinson
, Julie M. Riewe
, Shannon Rose Selden
, Jonathan R. Tuttle
-
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
-
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
-
Delaware Supreme Court Upholds Federal-Forum Provisions for Securities Act Claims
20 March 2020
Matthew E. Kaplan
, Peter J. Loughran
, Maeve O'Connor
, William D. Regner
, Jonathan R. Tuttle
, Elliot Greenfield
, Michael W. Gramer
-
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
, James B. Amler
, Norma Angelica Freeland
-
SEC Proposes Updates to Auditor Independence Requirements
7 January 2020
Arian M. June
, Matthew E. Kaplan
, Paul M. Rodel
, Steven J. Slutzky
, Jonathan R. Tuttle
-
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
, 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
-
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
-
Accounting and Financial Reporting Enforcement Round-Up
28 October 2019
Andrew J. Ceresney
, Matthew E. Kaplan
, Jonathan R. Tuttle
, Arian M. June
, Mark D. Flinn
-
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
, Jacob W. Stahl
-
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
, 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
, Melissa Runsten
-
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
, James B. Amler
-
FCPA Update May 2019
30 May 2019
Kara Brockmeyer
, Andrew M. Levine
, Karolos Seeger
, Jane Shvets
, Jonathan R. Tuttle
, Philip Rohlik
, Alma M. Mozetič
-
Law360: DC Circ. Gives New Meaning To 'Willful' In Securities Statutes
14 May 2019
Law360
Mary Jo White
, Andrew J. Ceresney
, Robert B. Kaplan
, Julie M. Riewe
, Jonathan R. Tuttle
, Kenneth J. Berman
, James B. Amler
-
DOJ Updates Guidance on Evaluating Corporate Compliance Programs
3 May 2019
Kara Brockmeyer
, Helen V. Cantwell
, Andrew J. Ceresney
, Andrew M. Levine
, David A. O'Neil
, David Sarratt
, Jonathan R. Tuttle
, Mary Jo White
, Bruce E. Yannett
, Lisa Zornberg
-
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
-
Insider Trading & Disclosure Update - Volume 5, Issue 1
28 February 2019
Matthew E. Kaplan
, Jonathan R. Tuttle
, Morgan J. Hayes
, Steven J. Slutzky
, Mark D. Flinn
, Benjamin R. Pedersen
-
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
-
OCIE’s 2019 Priorities Focus on Retail, But PE Managers Remain in Examiners’ Sights
9 January 2019
Jonathan Adler
, Andrew M. Ahern
, Kenneth J. Berman
, Andrew J. Ceresney
, Luke Dembosky
, Robert B. Kaplan
, Jim Pastore
, Julie M. Riewe
, Rebecca F. Silberstein
, Jonathan R. Tuttle
, Norma Angelica Freeland
-
U.S. Supreme Court to Review Private Right of Action in Cash Tender Offer
8 January 2019
Matthew E. Kaplan
, Jonathan R. Tuttle
, Maeve O'Connor
-
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
, Norma Angelica Freeland
-
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
, Katherine L. Christopher
-
A Strong Year For SEC Enforcement
6 November 2018
Law360
Mary Jo White
, Andrew J. Ceresney
, Robert B. Kaplan
, Julie M. Riewe
, Jonathan R. Tuttle
-
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
, James B. Amler
, Arian M. June
-
Debevoise & Plimpton on the SEC Enforcement Division’s 2018 Annual Report
2 November 2018
CLS Blue Sky Blog
Mary Jo White
, Andrew J. Ceresney
, Matthew E. Kaplan
, Julie M. Riewe
, Jonathan R. Tuttle
-
Insider Trading & Disclosure Update - Vol. 4, Issue 1
October 2018
Matthew E. Kaplan
, Jonathan R. Tuttle
, Morgan J. Hayes
, Steven J. Slutzky
, Mark D. Flinn
, Benjamin R. Pedersen
-
SEC Sues Hedge Fund Adviser For Alleged Short-and-Distort Scheme
25 September 2018
Matthew E. Kaplan
, Jonathan R. Tuttle
-
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
-
Accounting & Financial Reporting Enforcement Round-Up
5 May 2018
Issue
Andrew J. Ceresney
, Matthew E. Kaplan
, Jonathan R. Tuttle
, Arian M. June
, Mark D. Flinn
-
FCPA Update March 2018
Vol. 9, No. 8
Paul R. Berger
, Kara Brockmeyer
, Andrew M. Levine
, Jonathan R. Tuttle
, Bruce E. Yannett
, Erich O. Grosz
, Philip Rohlik
-
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
, Arian M. June
-
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
, Andrew J. Ceresney
, Robert B. Kaplan
, Julie M. Riewe
, Jonathan R. Tuttle
-
OCIE 2018 Examination Priorities Focus on Retail, but Private Fund Sponsors Still in Crosshairs
13 February 2018
Jonathan Adler
, Andrew M. Ahern
, Kenneth J. Berman
, Kara Brockmeyer
, Andrew J. Ceresney
, Robert B. Kaplan
, Julie M. Riewe
, Rebecca F. Silberstein
, Jonathan R. Tuttle
, Norma Angelica Freeland
-
Accounting & Financial Reporting Enforcement Round-Up
Issue 4, January 2018
Andrew J. Ceresney
, Matthew E. Kaplan
, Jonathan R. Tuttle
, Arian M. June
, Mark D. Flinn
-
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
-
Accounting & Financial Reporting Enforcement Round-Up
Issue 3, September 2017
Andrew J. Ceresney
, Matthew E. Kaplan
, Jonathan R. Tuttle
, Arian M. June
, Mark D. Flinn
-
SEC Leadership Discusses Continuing Priorities
8 September 2017
Kara Brockmeyer
, Andrew J. Ceresney
, Robert B. Kaplan
, Julie M. Riewe
, Jonathan R. Tuttle
, Mary Jo White
, Arian M. June
-
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
-
Accounting & Financial Reporting Enforcement Round-Up
Issue 2, June 2017
Andrew J. Ceresney
, Matthew E. Kaplan
, Jonathan R. Tuttle
, Arian M. June
, Mark D. Flinn
-
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
, Anna Moody
-
Financial CHOICE Act 2.0: Implications for the SEC and Capital Markets
25 April 2017
Mary Jo White
, Andrew J. Ceresney
, Julie M. Riewe
, Paul M. Rodel
, Jonathan R. Tuttle
, Mark D. Flinn
-
Accounting & Financial Reporting Enforcement Round-Up
Issue 1, April 2017
Andrew J. Ceresney
, Matthew E. Kaplan
, Jonathan R. Tuttle
, Arian M. June
, Mark D. Flinn
-
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
, Arian M. June
, Mark D. Flinn
-
Advisers Beware! OCIE Announces Most Frequent Compliance Topics
9 February 2017
Jonathan Adler
, Andrew M. Ahern
, Kenneth J. Berman
, Sally Gibson
, Robert B. Kaplan
, Geoffrey Kittredge
, Andrew M. Ostrognai
, Julie M. Riewe
, David J. Schwartz
, Rebecca F. Silberstein
, Jonathan R. Tuttle
, Michael P. Harrell
-
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
, Arian M. June
, Mark D. Flinn
-
SEC Enforcement Action Puts Spotlight on Segment Reporting
14 December 2016
Matthew E. Kaplan
, Alan H. Paley
, 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
-
Supreme Court’s Holding in Salman v. United States Leaves Many Important Questions Unanswered
7 December 2016
Paul R. Berger
, Matthew E. Fishbein
, Matthew E. Kaplan
, Robert B. Kaplan
, Julie M. Riewe
, Jonathan R. Tuttle
-
The Outlook for Financial Regulatory Reform Under President Trump
30 November 2016
Kenneth J. Berman
, Lawrence K. Cagney
, Matthew E. Kaplan
, Satish M. Kini
, Gregory J. Lyons
, Elizabeth Pagel Serebransky
, Julie M. Riewe
, Paul M. Rodel
, Steven J. Slutzky
, Jonathan R. Tuttle
-
The SEC’s Robare Decision: Potential Financial Conflicts of Interest are Per Se Material and Must Be Disclosed
11 November 2016
Kenneth J. Berman
, Robert B. Kaplan
, Jonathan R. Tuttle
-
Assistant Attorney General Caldwell’s Q&A Regarding FCPA Enforcement
4 November 2016
FCPA Professor
Jonathan R. Tuttle
-
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
-
SEC Brings First Stand-Alone Anti-Retaliation Enforcement Action Under Dodd-Frank
4 October 2016
Jyotin Hamid
, Mary Beth Hogan
, Jonathan R. Tuttle
, 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
-
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
-
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
-
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
-
Another Message to Private Fund Sponsors on Broker Registration – This Time from Enforcement
6 June 2016
Kenneth J. Berman
, Michael P. Harrell
, Robert B. Kaplan
, Andrew M. Ostrognai
, Jonathan R. Tuttle
, Julie Stem
-
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
-
SEC Enforcement Actions Getting Up Close And Personal
1 July 2016 (Vol. 17, No.1)
Journal of Investment Compliance
Matthew E. Kaplan
, Alan H. Paley
, Jonathan R. Tuttle
-
Debevoise Publishes Spring 2016 Edition of UK, US and Hong Kong Banking Litigation, Regulatory and Competition Law Update
April 2016
Lord Goldsmith KC
, Karolos Seeger
, Christopher Boyne
, Robert Maddox
, Paul R. Berger
, Helen V. Cantwell
, Courtney M. Dankworth
, Eric Dinallo
, Mary Beth Hogan
, Robert B. Kaplan
, David A. O'Neil
, Jim Pastore
, Jonathan R. Tuttle
, Bruce E. Yannett
, Mark Johnson
, Philip Rohlik
, Emily Lam
, Timothy McIver
, Anne-Mette Heemsoth
-
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
-
Two Decisions Highlight Significant Litigation Challenges for Prosecutors and Regulators
17 December 2015
Paul R. Berger
, Robert B. Kaplan
, Jonathan R. Tuttle
, Bruce E. Yannett
-
Insider Trading & Disclosure Update - Vol. 2, Issue 2
December 2015
Matthew E. Kaplan
, Jonathan R. Tuttle
, 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
-
SEC Enforcement Actions Getting Up Close and Personal
23 September 2015
Matthew E. Kaplan
, Alan H. Paley
, Jonathan R. Tuttle
-
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
-
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
-
Debevoise Publishes UK, U.S. and Hong Kong Banking Litigation, Regulatory and Competition Law Update
3 August 2015
Mark Johnson
, Courtney M. Dankworth
, David A. O'Neil
, Tony Dymond
, Lord Goldsmith KC
, Christopher Boyne
, Helen V. Cantwell
, Eric Dinallo
, Mary Beth Hogan
, Jonathan R. Tuttle
, Bruce E. Yannett
, Karolos Seeger
, Robert Maddox
, Timothy McIver
, Anne-Mette Heemsoth
-
SEC Brings First-of-Its-Kind Action for Confidentiality Agreement that Discourages Whistleblowing
6 April 2015
Jyotin Hamid
, Mary Beth Hogan
, Jonathan R. Tuttle
-
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
-
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
-
Dropped Herbalife Insider Case Leaves Questions Unanswered
27 February 2015
Law360
Matthew E. Kaplan
, Jonathan R. Tuttle
, Morgan J. Hayes
-
Allergan Fuels Tension Over Schedule 13D Disclosure
23 February 2015
Law360
Matthew E. Kaplan
, Jonathan R. Tuttle
-
Citigroup Fallout And SEC’s Strategic Resource Allocations
17 February 2015
Law360
Jonathan R. Tuttle
-
Insider Trading & Disclosure Update - Vol. 2, Issue 1
January 2015
Matthew E. Kaplan
, Jonathan R. Tuttle
, 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
-
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
-
Second Circuit Restores Teeth to Insider Trading Personal Benefit Requirement
11 December 2014
Paul R. Berger
, Helen V. Cantwell
, Eric Dinallo
, Matthew E. Fishbein
, Mark P. Goodman
, Matthew E. Kaplan
, Robert B. Kaplan
, Andrew M. Levine
, Jonathan R. Tuttle
, Bruce E. Yannett
-
DOJ Proposal Shows Focus on Individuals in Corporate Crime
30 September 2014
Law360
Helen V. Cantwell
, Matthew E. Fishbein
, Mark P. Goodman
, Mary Beth Hogan
, Andrew M. Levine
, Jonathan R. Tuttle
, Bruce E. Yannett
, Kristin D. Kiehn
, David Sarratt
, Jacob W. Stahl
-
Important Lessons Come in Small Packages: SEC Focus on MD&A Trends and Uncertainties Disclosure
26 September 2014
Matthew E. Kaplan
, Alan H. Paley
, Jonathan R. Tuttle
, Morgan J. Hayes
-
Provocative DOJ Proposal Aims to Hold Financial Services Executives Criminally Liable, Even Absent Criminal Intent
22 September 2014
Bruce E. Yannett
, Mary Beth Hogan
, Helen V. Cantwell
, Matthew E. Fishbein
, Mark P. Goodman
, Andrew M. Levine
, Jonathan R. Tuttle
, Kristin D. Kiehn
, Jacob W. Stahl
-
Inside 2nd Circ Ruling on Overseas Whistleblower
21 August 2014
Law360
Jyotin Hamid
, Mary Beth Hogan
, Jonathan R. Tuttle
-
Second Circuit Holds Whistleblower Anti-Retaliation Provision Does Not Apply Extraterritorially
19 August 2014
Jyotin Hamid
, Mary Beth Hogan
, Jonathan R. Tuttle
-
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
-
Insider Trading & Disclosure Update - Vol. 1, No. 1
July 2014
Matthew E. Kaplan
, Jonathan R. Tuttle
, Morgan J. Hayes
, Steven J. Slutzky
-
D.C. Circuit Upholds Privilege Protections in Compliance Investigations
3 July 2014
Helen V. Cantwell
, Mary Beth Hogan
, Andrew M. Levine
, Bruce E. Yannett
, Paul R. Berger
, Jonathan R. Tuttle
-
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
-
SEC Brings First Anti-Retaliation Enforcement Action under Dodd-Frank
19 June 2014
Jyotin Hamid
, Jonathan R. Tuttle
-
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
-
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
-
SEC Warns Against Interference with Potential Whistleblowers
6 May 2014
Kenneth J. Berman
, Jonathan R. Tuttle
, Jyotin Hamid
, Michael P. Harrell
, Mary Beth Hogan
-
FCPA Update
April 2014, Vol. 5, No. 9
Andrew M. Levine
, Paul R. Berger
, Jonathan R. Tuttle
-
Head of SEC Whistleblower Office Warns against Interference with Potential Whistleblowers
24 April 2014
Jyotin Hamid
, Mary Beth Hogan
, Jonathan R. Tuttle
-
SEC Focuses on “Gatekeepers” in Recent Enforcement Actions
23 April 2014
Alan H. Paley
, Jonathan R. Tuttle
-
Supreme Court Gives SOX Whistleblower Provision Expansive Reading
7 March 2014
Jyotin Hamid
, Mary Beth Hogan
, Jonathan R. Tuttle
-
The SEC’s Examination Priorities for 2014
28 January 2014
Kenneth J. Berman
, Michael P. Harrell
, Robert B. Kaplan
, Jonathan R. Tuttle
-
A Touch of Solace for Broker-Dealer Compliance Personnel
7 November 2013
Law360
Paul R. Berger
, Kenneth J. Berman
, Jonathan R. Tuttle
, Robert B. Kaplan
-
Debevoise & Plimpton Discusses SEC’s Guidance on Supervisory Liability for a Broker-Dealer’s Compliance and Legal Personnel
5 November 2013
The Columbia Law School Blue Sky Blog
Paul R. Berger
, Kenneth J. Berman
, Jonathan R. Tuttle
-
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
-
Guidance (and a Touch of Solace) for Compliance and Legal Personnel on Potential Supervisory Liability
21 October 2013
Paul R. Berger
, Kenneth J. Berman
, Robert B. Kaplan
, Jonathan R. Tuttle
-
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
-
When the SEC Knocks on Your Door, Will You Be Prepared?: Practical Steps PE Firms Should Take to Prepare for an SEC “Presence” Examination
Winter 2013, Vol 13, Number 2
Kenneth J. Berman
, Robert B. Kaplan
, Michael P. Harrell
, 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
-
Regulation FD: Recent Charges Underscore Importance of Compliance Culture
10 September 2013
Matthew E. Kaplan
, Alan H. Paley
, Jonathan R. Tuttle
-
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
-
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
-
SEC Enforcement Action Targets Advisers to Private Equity Funds
15 March 2013
Paul R. Berger
, Kenneth J. Berman
, Jonathan R. Tuttle
, Eric Dinallo
, Mark P. Goodman
, Michael P. Harrell
, Shannon Rose Selden
-
The Private Equity Report
Winter 2013
Jonathan F. Lewis
, E. Drew Dutton
, David Innes
, Andrew M. Ostrognai
, Eric Dinallo
, Kenneth J. Berman
, Robert B. Kaplan
, Michael P. Harrell
, Jonathan R. Tuttle
, Kevin M. Schmidt
, Michael Schaper
, Peter F.G. Schuur
, Adele M. Karig
, Matthew D. Saronson
-
SEC 2013 Examination Priorities Focus on Private Fund Sponsors
5 March 2013
Eric Dinallo
, Kenneth J. Berman
, Michael P. Harrell
, Robert B. Kaplan
, Shannon Rose Selden
, Jonathan R. Tuttle
-
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
-
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
-
A Good Way to Level the Playing Field in SEC Civil Actions
8 January 2013
Law360
Jonathan R. Tuttle
-
Fund Directors Charged in Recent SEC Enforcement Case Targeting Valuation
14 December 2012
Paul R. Berger
, Jonathan R. Tuttle
, Eric Dinallo
, Mark P. Goodman
, Shannon Rose Selden
-
Blogs, Facebooking and Tweeting: Public Enough for Regulation FD?
12 December 2012
Matthew E. Kaplan
, Jonathan R. Tuttle
, Andrew G. Jamieson
-
Insider Trading Plans in Spotlight Again
3 December 2012
Jonathan R. Tuttle
, Matthew E. Kaplan
-
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
-
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
-
Court Finds No Duty To Disclose Wells Notices
September 2012
INSIGHTS: The Corporate & Securities Law Advisor
Matthew E. Kaplan
, Jonathan R. Tuttle
-
Second Circuit Signals Support for the SEC’s Use of ‘Neither Admit Nor Deny’ Language in Consent Settlements
September 2012
Financial Fraud Law Report
Paul R. Berger
, Jonathan R. Tuttle
, Bruce E. Yannett
-
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
-
Dodd-Frank Whistleblower Issues In Leshinsky And Asadi
25 July 2012
Law360
Jyotin Hamid
, Mary Beth Hogan
, 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
-
Dodd-Frank’s New Whistleblower Protections: Guidance on Extraterritoriality and Retroactivity
17 July 2012
Jyotin Hamid
, Mary Beth Hogan
, Jonathan R. Tuttle
-
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
-
FCPA Update
March 2012, Vol. 3, No. 8
Bruce E. Yannett
, Paul R. Berger
, Jonathan R. Tuttle
, Karolos Seeger
-
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
-
The SEC Sharpens Its Talons in No-Fault Clawback Actions
23 November 2011
The Review of Securities & Commodities Regulation
Jonathan R. Tuttle
-
Judge Mukasey Testifies before Congress in Support of FCPA Reform
21 June 2011
Michael B. Mukasey
, Bruce E. Yannett
, Paul R. Berger
, Jonathan R. Tuttle
-
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
-
U.S. Securities and Exchange Commission Launches Probe of Financial Institution Dealings with Sovereign Wealth Funds
18 January 2011
Paul R. Berger
, Bruce E. Yannett
, Eric Dinallo
, Mark P. Goodman
, Jonathan R. Tuttle
-
Specific Corporate Compliance Challenges by Practice Area: Securities
2011
LexisNexis Corporate Compliance Practice Guide: The Next Generation of Compliance § 37
Paul R. Berger
, Jonathan R. Tuttle
-
FCPA Update
November 2010, Vol. 2, No. 4
Paul R. Berger
, Bruce E. Yannett
, Jonathan R. Tuttle
, Colby A. Smith
-
U.S. Attorney’s Office for the Southern District of New York and U.S. Securities and Exchange Commission Investigate Massive Insider Trading Ring
22 November 2010
Mark P. Goodman
, Anne E. Cohen
, Helen V. Cantwell
, Jonathan R. Tuttle
-
Still Cookin' in Dallas—Fifth Circuit Reverses Dismissal of Insider Trading Charges against Mark Cuban
27 September 2010
Paul R. Berger
, Matthew E. Kaplan
, Jonathan R. Tuttle
-
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
-
The SEC's Enforcement Cooperation Initiatives
24 June 2010
American Bar Association Section of Litigation
Paul R. Berger
, Jonathan R. Tuttle
-
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
-
The SEC's Enforcement Cooperation Initiatives
17 February 2010
Paul R. Berger
, Jonathan R. Tuttle
-
Applying Dismissals of Hurricane-Related Class Actions to the Subprime Mortgage Cases
Fall 2009
ABA Securities Litigation Journal
Jonathan R. Tuttle
-
What's Cookin' in Dallas? Cuban and the SEC
24 August 2009
Appellate Law360 and Securities Law360
Matthew E. Kaplan
, Paul R. Berger
, Jonathan R. Tuttle
-
SEC Enforcement Director Robert Khuzami Outlines Changes to Enforcement Division Foreshadowing Increased Enforcement Activity in Coming Months
11 August 2009
Bruce E. Yannett
, Paul R. Berger
, Jonathan R. Tuttle
-
UK Serious Fraud Office Releases Guidelines on Self-Reporting of Overseas Corruption
10 August 2009
Lord Goldsmith KC
, Karolos Seeger
, Bruce E. Yannett
, Paul R. Berger
, Jonathan R. Tuttle
, Frederick T. Davis
-
UK Serious Fraud Office Releases Guidelines on Self-Reporting of Overseas Corruption
August 2009
Euro Watch
Lord Goldsmith KC
, Paul R. Berger
, Frederick T. Davis
, Bruce E. Yannett
, Jonathan R. Tuttle
, Karolos Seeger
-
What’s Cookin’ in Dallas? Court Dismisses Insider Trading Charges against Mark Cuban
4 August 2009
Paul R. Berger
, Matthew E. Kaplan
, Jonathan R. Tuttle
-
The EU Rating Agency Regulation
4 June 2009
Jonathan R. Tuttle
, Paul R. Berger
, Bruce E. Yannett
-
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
-
What’s Next for the SEC?
23 February 2009
Paul R. Berger
, Kenneth J. Berman
, Colby A. Smith
, Jonathan R. Tuttle
, John B. Missing
-
Defeating Securities Class-Action Litigation Arising from ‘Perfect Storms:’ Applying Dismissals of Hurricane-Related Class-Actions to the Subprime Mortgage Cases
2009
American Conference Institute, Advanced Forum on Securities Litigation 2009
Jonathan R. Tuttle
-
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
, Nicholas F. Potter
View More Publications
Recent Events
-
Recent Developments in Securities Enforcement
1 February 2023
Debevoise & Plimpton LLP
Webcast
Speaking Engagements
-
Recent Developments in Securities Enforcement
26 October 2022
Debevoise & Plimpton LLP
Webcast
Speaking Engagements
-
Recent Developments in Securities Enforcement
21 September 2022
Debevoise & Plimpton LLP
Webinar Securities Enforcement Series
Webcast
Speaking Engagements
-
Securities Litigation - The Investigation: Coordinating Requests From Government Regulators
28 March 2022
The Practicing Law Institute (PLI)
Securities Litigation 2022: From Investigation to Trial
Webcast
Speaking Engagements
-
Recent Developments in Securities Enforcement
30 November 2021
Debevoise & Plimpton LLP
Securities Enforcement Commentary Series
Webcast
Speaking Engagements
-
Recent Developments in Securities Enforcement
19 August 2021
Debevoise & Plimpton LLP
Webcast
Speaking Engagements
-
Privilege Considerations for Asset Managers
23 June 2021
Debevoise & Plimpton LLP
6th Annual SEC Alumni Seminar
Webcast
Speaking Engagements
-
Recent Developments in Securities Enforcement
16 June 2021
Debevoise & Plimpton LLP
Webcast
Speaking Engagements
-
FCPA Trends and Developments
28 October 2020
Securities Docket
Securities Enforcement Form on FCPA Issues
Webcast
Speaking Engagements
-
COVID-19 & Private Equity: Portfolio Company and Fund Governance Practices in the Time of COVID
2 April 2020
Debevoise
Webcast
Speaking Engagements
-
Managing a True Corporate Crisis/Major Internal Investigation
23 October 2019
Securities Docket
Securities Enforcement Forum 2019
Washington, DC
Speaking Engagements
-
Defending the Gatekeeper: When In-House Counsel and Compliance Professionals are Investigated
5 September 2018
Practising Law Institute
New York, New York
Speaking Engagements
-
Securities Litigation: The Investigation: Coordinating Requests from Government Regulators
4 April 2018
Practising Law Institute
New York, New York
Speaking Engagements
-
Securities Litigation: The Investigation: Coordinating Requests from Government Regulators
5 April 2017
Practising Law Institute
Securities Litigation 2017: From Investigation to Trial
New York, New York
Speaking Engagements
-
PLI’s Securities Litigation 2017: From Investigation to Trial
5 April 2017
Practising Law Institute
New York, New York
Speaking Engagements
-
Books, Records & Internal Controls Think Tank
29 November 2016
American Conference Institute
33rd International Conference on the Foreign Corrupt Practices Act
Washington, DC
Speaking Engagements
-
The Investigation: Coordinating Requests from Government Regulators
20 April 2016
Practising Law Institute
Securities Litigation 2016: From Investigation to Trial
New York, New York
Speaking Engagements
-
Newman, High Frequency Trading - What Exactly are the Limits of Securities Fraud?
1 October 2015
American Bar Association
10th Annual National Institute on Securities Fraud
New Orleans, Louisiana
Speaking Engagements
-
Best Practices in Minute Preparation
27 May 2015
Society of Corporate Secretaries and Governance Professionals
Middle Atlantic Chapter - Spring Conference
The Union League, Philadelphia, PA
Speaking Engagements
-
The Investigation: Coordinating Requests from Government Regulators:
22 April 2015
Practising Law Institute
Securities Litigation 2015: From Investigation to Trial
New York, NY
Speaking Engagements
-
Global Financial Institution Enforcement Issues: A Discussion of Federal, NY and International Enforcement Approaches, Priorities and Responses
12 February 2015 6:00 AM Dateline Standard Time
Debevoise Events
-
The Future of the 'Neither Admit Nor Deny' Settlement Policy in the Wake of the Citigroup Decision
22-23 January 2015
American Conference Institute
American Conference Institute 4th Securities Litigation & Enforcement Conference
The Carlton Hotel, New York, NY
Speaking Engagements
-
Predictions and Priorities for 2015
13 January 2015 6:00 AM Dateline Standard Time
Debevoise Events
View More Events