SDNY
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SDNY’s new corporate enforcement policy charts path to declination
SDNY said after a company self-reports, it will issue a conditional letter stating intent to decline prosecution, if certain criteria are met.
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SDNY’s Clayton wants to offer companies better deals for their cooperation
The former SEC leader said he wants to offer “real benefits” to those committed to turning over bad actors and resolving matters quickly.
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StraightPath founders convicted in pre-IPO investment scheme
Reported charges included selling pre-IPO shares the defendants did not possess, undisclosed fees, and mixing investor funds.
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Soccer club and airline investor Josh Wander indicted for alleged $500m fraud
The indictment charging Wander with wire fraud, securities fraud and conspiracy to commit those crimes was unsealed Thursday in federal court in Manhattan.
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US Attorney in Florida announces Whistleblower NPA Pilot Program
US Attorney’s Office in Florida seeks to incentivize individuals and their counsel to provide timely reporting on non-violent criminal conduct.
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SEC and SDNY signal eyes on AI-washing fraud as AI firm founder charged
The SEC is eying bold claims made by AI startups and investors about AI capabilities, and this AI-washing case is a prime example.
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SEC moves on plethora of insider-trading cases
Last week, SEC and SDNY announced charges in separate insider trading cases, alleging securities fraud and other related violations.