What anti-money laundering compliance programs should financial firms have in place? The Financial Industry Regulatory Authority (“FINRA”) recently announced that it had fined Credit Suisse Securities (USA) LLC, a former …
On December 14, 2016, the Department of Justice (“DOJ”) announced that it “obtained more than $4.7 billion in settlements and judgments from civil cases involving fraud and false claims against …
The Securities and Exchange Commission (“SEC” or “Commission”) has put a lump of coal in the Christmas stockings of two companies this week for using separation agreements that impede the …
New York, NY (Law Firm Newswire) December 22, 2016 – The Law Office of Jeffrey M. Haber is pleased to announce that Mr. Haber has once again been named by Super …
Perpetrating a fraud on the government is a serious problem. It has economic and life threatening consequences (e.g., increasing costs to taxpayers, and providing defective bullet proof vests to the …
On December 6, 2016, the United States Supreme Court ruled that a violation of the seal provisions of the False Claims Act (“FCA”) does not mandate dismissal of a relators’ …
In a December 2016 regulatory notice to member firms, the Financial Industry Regulatory Authority (“FINRA”) announced that the Securities and Exchange Commission (“SEC”) approved amendments to Rule 12403 of the …
Over the year, this Blog has written about awards given to whistleblowers under the SEC and CFTC whistleblower programs – the anti-fraud/anti-corruption programs created under the Dodd–Frank Wall Street Reform …
Let’s say you, the reader, are an entrepreneur who wants to open a business. Although you are willing to run the risks associated with a startup, you do not want …
Previously, this Blog wrote about the importance of having a complete record when challenging an arbitration award. Recently, two claimants in arbitration learned the hard way that an incomplete record …
