SEC: San Antonio Ex-Senator & Businessman Committed Fraud
The SEC’s Fort Worth Regional Office officially charged for lawmaker Carlos and businessman Stan Bates with securities fraud in an alleged $11 million oil and gas fracking scheme.
SEC Charges Int’l Securities Dealer with Fraud
The SEC’s FWRO filed a first-of-its-kind lawsuit Thursday charging a brokerage service with operating an internet-based securities operation that allowed people to anonymously buy and sell securities using cryptocurrency.
NDTX White-Collar Prosecutions to Heat Up
Northern District of Texas U.S. Attorney Erin Nealy Cox said Friday that her office is getting more aggressive in identifying, pursuing and prosecuting illegal activity – especially financial fraud – by businesses and corporate leaders.
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.
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.
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.
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.
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.
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.
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