Sentences with phrase «regulatory investigations involving»

We have represented clients in SEC, FBI and other regulatory investigations involving alleged securities fraud.

The firm comprises a deep bench of talented lawyers with particular strength representing individuals in government and regulatory investigations involving securities, tax fraud and antitrust issues among others.»

Catalyst Asia serves companies and counsel facing e-discovery and regulatory investigations involving Asian - language documents.

We represent clients involved in SEC, FBI and other regulatory investigations involving alleged securities fraud.

She regularly represents brokerage firms in FINRA arbitrations and regulatory investigations involving alleged violations of state and federal securities laws.

In this role, she advised internal and external counsel on strategies for the preservation, collection, search, review, and production of data, and personally managed several high - profile internal and regulatory investigations involving complex data related issues.

Nathan often represents clients in connection with regulatory investigations involving U.S. and Korean authorities.

Successful representation of the lead audit partner of an international accounting firm in a state regulatory investigation involving a large, multi-national software company

Not exact matches

We have extensive experience representing firms in CFTC, SEC, FERC and DOJ investigations and proceedings, as well as those involving self - regulatory organizations.

Examples of these risks, uncertainties and other factors include, but are not limited to the impact of: adverse general economic and related factors, such as fluctuating or increasing levels of unemployment, underemployment and the volatility of fuel prices, declines in the securities and real estate markets, and perceptions of these conditions that decrease the level of disposable income of consumers or consumer confidence; adverse events impacting the security of travel, such as terrorist acts, armed conflict and threats thereof, acts of piracy, and other international events; the risks and increased costs associated with operating internationally; our expansion into and investments in new markets; breaches in data security or other disturbances to our information technology and other networks; the spread of epidemics and viral outbreaks; adverse incidents involving cruise ships; changes in fuel prices and / or other cruise operating costs; any impairment of our tradenames or goodwill; our hedging strategies; our inability to obtain adequate insurance coverage; our substantial indebtedness, including the ability to raise additional capital to fund our operations, and to generate the necessary amount of cash to service our existing debt; restrictions in the agreements governing our indebtedness that limit our flexibility in operating our business; the significant portion of our assets pledged as collateral under our existing debt agreements and the ability of our creditors to accelerate the repayment of our indebtedness; volatility and disruptions in the global credit and financial markets, which may adversely affect our ability to borrow and could increase our counterparty credit risks, including those under our credit facilities, derivatives, contingent obligations, insurance contracts and new ship progress payment guarantees; fluctuations in foreign currency exchange rates; overcapacity in key markets or globally; our inability to recruit or retain qualified personnel or the loss of key personnel; future changes relating to how external distribution channels sell and market our cruises; our reliance on third parties to provide hotel management services to certain ships and certain other services; delays in our shipbuilding program and ship repairs, maintenance and refurbishments; future increases in the price of, or major changes or reduction in, commercial airline services; seasonal variations in passenger fare rates and occupancy levels at different times of the year; our ability to keep pace with developments in technology; amendments to our collective bargaining agreements for crew members and other employee relation issues; the continued availability of attractive port destinations; pending or threatened litigation, investigations and enforcement actions; changes involving the tax and environmental regulatory regimes in which we operate; and other factors set forth under «Risk Factors» in our most recently filed Annual Report on Form 10 - K and subsequent filings by the Company with the Securities and Exchange Commission.

Help your clients address regulatory challenges, including billing error investigations involving Medicare and Medicaid, before they become a larger issue.

Litigations, arbitrations, investigations as well as regulatory compliance, and enforcement now routinely involve multiple jurisdictions or affect property, business practices, laws, venues, or procedures of different countries.

These include complex civil litigation, governmental and regulatory investigations and transactional matters involving massive amounts of electronic data.

He focuses on multi-jurisdictional anti-corruption, regulatory, fraud and accounting investigations, as well as trade and sanctions issues involving multinational and major regional corporates.

Government Enforcement & Compliance: representation of companies and individuals in government and internal investigations involving healthcare fraud, securities fraud and other civil and criminal regulatory matters.

Because JAMS provides alternative dispute resolution mechanisms that operate in accordance with judicial procedures, we may also deny or limit access to personal data in the following contexts: (i) interference with law enforcement or with private causes of action, including the prevention, investigation or detection of offenses or the right to a fair trial, arbitration or mediation; (ii) disclosure where the legitimate rights or important interests of others would be violated; (iii) breaching a legal or other professional privilege or obligation; (iv) prejudicing employee security investigations or grievance proceedings or in connection with employee succession planning and corporate reorganizations; or (v) prejudicing the confidentiality necessary in monitoring, inspection or regulatory functions connected with sound management, or in future or ongoing negotiations involving JAMS.

Practice areas; — White Collar Criminal Defense — Other Federal Criminal Defense — Defense of regulatory investigations and proceedings — Advocacy for officers, directors, and employees in internal corporate investigations — Matters involving MBS, CDS, CDOs, and subprime mortgages — Government - initiated civil RICO actions — Civil and Commercial Litigation — Federal Sentencing Advocacy Education: — Columbia University, 2008 Juris Doctor Harlan Fiske Stone Scholar — Yale University, 2004 Bachelor of Arts, cum laude Departmental Honors, English Admissions: — New York, First Department — United States District Court, Southern District of New York — United States District Court, Eastern District of New York

The case involves both U.S. and Canadian regulatory and criminal investigations and, as these things tend to go, shareholder class action litigation.

A significant part of Andrew's practice also involves representing corporations, corporate officers and directors, and other individuals in criminal, civil and regulatory investigations.

Are regulatory or criminal securities and related investigations targeted at the company or the individuals involved, or both?

defense of regulatory investigations of broker - dealers involving sales of 529 plans, mutual funds, life insurance products and annuities;

Mr. Marx focuses on white collar criminal matters and regulatory enforcement actions, and has considerable experience with investigations and prosecutions involving healthcare fraud, securities fraud, commercial bribery, accounting improprieties, research misconduct, export violations, antitrust violations and conflicts - of - interest.

defense of nationwide and state regulatory investigations of sales practices involving variable and / or indexed annuities;

Kyle focuses on multi-jurisdictional regulatory and criminal securities, anti-corruption, fraud and accounting investigations, as well as trade and sanctions issues involving multinational and major regional corporates.

Some examples include allegations of corporate bribery involving payments made to foreign government officials; compliance with regulatory reviews and investigations; cooperation with government price fixing investigations; participation in accounting investigations; conduct of internal corporate investigations involving employee theft or Intellectual Property theft; international arbitration; and involvement in general civil and / or commercial litigation.

Complaints, investigations and discipline matters involving self - regulated professionals and their regulatory colleges / bodies

Neil Lang represents public companies, their officers and directors, brokers, investment advisers and individuals in government and regulatory investigations, enforcement and litigation involving, among others, the Securities and Exchange Commission (SEC), the Department of Justice (DOJ), state regulatory agencies, the Financial Industry Regulatory Authority (FINRA) and private litigants.

Martin has been involved in ediscovery for over 25 years, during which time he has managed and implemented large corporate workflow and document management systems, as well as advised clients on complex, large - scale, multi-jurisdictional litigation and regulatory investigation matters.

Whether it is an individual involved in a simple business dispute, accident, domestic relations dispute, criminal proceeding, airplane crash, explosion, malpractice injury, a RICO indictment, injury by defective product or asbestos exposure; or a business organization faced with a multifaceted, multimillion dollar complex litigation problem, a control dispute, a grand jury investigation, a regulatory problem or an indictment; or a governmental unit facing financial default, the loss of a state - wide tax, prosecution or defense of a complex contract dispute or the need to use creative litigation to change a governmental structure — the individual, entrepreneur, corporation, private attorney, CEO, councilman, mayor, governor or even Presidential candidate has turned to the Climaco Firm to solve the problem.

Whether it is an individual involved in a simple business dispute, accident, domestic relations dispute, white collar criminal proceeding, airplane crash, explosion, malpractice injury, a RICO indictment, or injury by defective product; or a business organization faced with a multifaceted, multimillion dollar complex litigation problem, a control dispute, a grand jury investigation, a regulatory problem or an indictment; or a governmental unit facing financial default, the loss of a state - wide tax, prosecution or defense of a complex contract dispute or the need to use creative litigation to change a governmental structure — the individual, entrepreneur, corporation, private attorney, CEO, councilman, mayor, governor or even Presidential candidate has turned to the Climaco Firm to solve the problem.

He has acted in high profile, complex international investigations, involving regulatory and prosecutorial bodies including HMRC, SFO, FSA / FCA and has extensive experience of tax investigations, bribery and corruption investigations and prosecutions.

Practice head Hugh Evans has more than 35 years of experience handling high - value professional negligence claims on behalf of banks, building societies and other lenders; he leads a team that includes Adam Ibrahim who, in addition to heading the regulatory team in Leeds, has extensive experience handling financial services related professional negligence matters and is heavily involved in claims arising from the FCA's investigation into the mis - selling of derivatives and swaps.

He has twenty years» experience of investigations in white collar, antitrust and financial regulatory matters for corporates — many of these matters involving cross-border enforcement.

In that role, Leo first chaired arbitrations and handled regulatory investigations and enforcement actions involving suitability and supervision of investment products, breach of contract, employment discrimination and various other issues impacting the securities industry.

The combination involved the negotiation and preparation of multiple agreements as well as negotiations with state and federal agencies for certain regulatory approvals and a full - scale legal due diligence investigation of over fifty related entities.

Difficult issues can arise for companies when attempting to negotiate settlement of global investigations, which can involve a variety of regulatory and prosecuting authorities across a range of jurisdictions.Parallel existing (or potential) civil litigation or arbitration adds a further layer of complexity to the analysis.

I offer legal advice to clients involved in criminal or civil investigations by regulatory enforcement agencies.

Some of my representative matters include acting for clients involved in price - fixing and customs investigations, professional regulation investigations and fraud and white - collar crime investigations under Canadian criminal and regulatory legislation.

On the non-contentious side the group regularly counsels clients on internal investigations involving regulatory breaches; whistle - blowing; fraud and theft / misuse of company property.

Our approach involves applying the fundamental principles of effective legal practice to the context of regulatory investigations.

She has also advised clients subject to regulatory investigations and litigation involving a spectrum of federal and state laws, including under Section 5 of the Federal Trade Commission Act, the Children's Online Privacy Protection Act (COPPA), the Fair Credit Reporting Act (FCRA), the Family Educational Rights and Privacy Act (FERPA), Gramm - Leach - Bliley Act (GLBA), state data breach notification laws, California Online Privacy Protection Act (CalOPPA) and others.

Libor was the largest global investigation post-financial crisis, involving antitrust and financial services regulatory elements, and more than 25 regulators in more than 10 countries.

Our expert regulatory team, which includes a number of criminal lawyers, undertakes both prosecution and defence work giving us a unique understanding and ability to negotiate for clients involved in an investigations and enforcement action.

We're helping clients navigate regulatory investigations and litigation involving pay equality, discrimination and whistleblowing, among other areas of increased enforcement.

Advised and represented broker - dealer firms on FINRA regulatory investigations and inquiries involving supervisory procedures, sales practices, and operational issues

Represented broker - dealer in NASD / FINRA arbitration involving sale of funding vehicles for 412 (i) defined benefit retirement plan and advice to broker - dealer on response to subsequent regulatory investigation

Nevertheless, companies are often reluctant to involve law enforcement, especially in the early days following a breach, for fear that they will waive attorney - client privilege over their investigation into what happened, and that whatever is shared with the FBI will be subject to discovery in a subsequent civil case or regulatory investigation.

He represents individual and corporate clients in governmental and internal investigations, including matters involving the Securities and Exchange Commission (SEC), the Department of Justice, the Federal Reserve Board, the Office of the Comptroller of the Currency, the Commodity Futures Trading Commission, securities self - regulatory organizations, and the Senate Permanent Subcommittee on Iinvestigations, including matters involving the Securities and Exchange Commission (SEC), the Department of Justice, the Federal Reserve Board, the Office of the Comptroller of the Currency, the Commodity Futures Trading Commission, securities self - regulatory organizations, and the Senate Permanent Subcommittee on InvestigationsInvestigations.

It should involve a thorough discussion between the client and outside counsel about the client's business (or personal) goals and legal objectives, the significance and value of the matter to the client's business (or personal) interests, the context of the matter (events leading up to it), the key players (inside and outside the client's organization), and any related or parallel transactions or proceedings (e.g., prior or contemporaneous business dealings between the parties, pending requests for permits or approval for transactions, pending or threatened regulatory investigations or enforcement proceedings).

Bennett says he expects «no sign of a decline in the amount of investigation and enforcement work involving regulatory risk in the coming year».