White-Collar/Regulatory Archives - Page 37 of 40

SEC/DOJ Changing Focus, Staff Attrition Challenges & TX GCs Discuss Their White-Collar Nightmares

The world of white-collar criminal prosecutions and federal government enforcement actions is in turmoil or at least evolving significantly. Then, there is the so-called “Trump Effect” on government regulation and prosecution of businesses.

September 20, 2018 Mark Curriden

SEC Charges Colleyville Broker-Dealer with Fraud

Thomas Caufield was not a character in J.D. Salinger’s Catcher in the Rye, but the U.S. Securities and Exchange Commission says he has been up to no good nonetheless.

September 17, 2018 Mark Curriden

DBJ: Feds charge Addison marijuana investment firm with fraud, seize $1.4M in cash

Addison marijuana investor Greenview Investment Partners has been charged by the Securities and Exchange Commission for allegedly making false promises about its returns to those wanting to put money into the industry.

September 7, 2018 Mark Curriden

Get More Bang for Your Compliance Buck by Conducting Risk Assessments

Attorneys at Greenberg Traurig explain the nuts and bolts of assessing a company’s anti-corruption risk and for updating compliance policies and procedures as a company evolves.

September 4, 2018 Mark Curriden

Doctor Pleads Guilty, Lawyer’s Death Delays Trial in Forest Park Conspiracy Case

Dr. Wade Barker, a founding surgeon of the now bankrupt Forest Park Medical Center, has agreed to plead guilty for his role in what prosecutors claim was a $40 million criminal bribery and kickback scheme that involved 21 doctors, hospital administrators and consultants. The Texas Lawbook has learned that as many as three other defendants in the case are involved in secret plea negotiations with prosecutors.

August 17, 2018 Mark Curriden

Texas Lawbook Sponsors UT Government Enforcement Institute

The Texas Lawbook is the official media sponsor of the Fifth Annual University of Texas Government Enforcement Institute set for Sept. 20 in Dallas. The daylong CLE program features an extraordinary line up of speakers, including a handful of corporate general counsel, federal prosecutors and senior officials at the U.S. Securities and Exchange Commission. Morgan Lewis partner Steve Korotash and Chesapeake Energy Chief Compliance Officer Patrick Craine have the details.

August 15, 2018 Mark Curriden

SEC Closes Climate Change Probe into ExxonMobil

(Aug. 3) – The U.S. Securities and Exchange Commission has ended its two-year inquiry into ExxonMobil and how the oil giant factors climate change into the valuation of its corporate

August 3, 2018 Mark Curriden

TX Securities Board Leads Prosecution of Round Rock Real Estate Fraudster

A Nueces County jury took 15 minutes last week to find a Round Rock man guilty of real estate fraud. Yesterday, the judge in the case took even less time to sentence Everett Craig Williams to 20 years in state prison and pay $189,000 in restitution to investors in a fraudulent real estate program with victims in Nueces, Collin, and Harris counties.

July 19, 2018 Mark Curriden

SEC: Former ClubCorp Exec Admitted Insider Trading Violations

The SEC announced Thursday that it has settled its insider trading case against former ClubCorp Holdings Vice President Nelson “Frank” Molina. The Texas Lawbook has the details.

July 5, 2018 Mark Curriden

SEC: UDF & Execs Misled Investors, Falsified Public Records, Agree to Pay $8.2M in Penalties

The U.S. Securities and Exchange Commission officially filed charges Tuesday against two prominent Grapevine-based real estate investment trusts and five of its senior executives for misleading investors about the financial health of one of its key funds.

July 3, 2018 Mark Curriden