Anyone who holds a large position in a securities-based swap should be aware of new rules proposed by the Securities and Exchange Commission (SEC). The proposed rules aim to prevent fraudulent, manipulative and deceptive activity with regard to securities-based swaps....
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Year: 2021
Attorney Kevin O’Brien’s Article Was Published in Reuters
Kevin J. O’Brien writes, “While the verdict in this case has yet to be decided, the prosecution effectively inoculated itself against the defense’s possible arguments by presenting a broad range of authoritative testimony to the contrary.” Read Full Article
New Podcast Episode of The FCPA Compliance Report: Kevin J. O’Brien Discusses the Elizabeth Holmes Trial
Kevin J. O’Brien takes a deep dive into the Elizabeth Holmes trial, critiquing both the prosecution and defense with The Voice of Compliance, Tom Fox. Listen to the Podcast
New Podcast Episode of The FCPA Compliance Report: Kevin J. O’Brien Discusses the Elizabeth Holmes Trial
Kevin J. O’Brien takes a deep dive into the Elizabeth Holmes trial, critiquing both the prosecution and defense with The Voice of Compliance, Tom Fox. Listen to the Podcast
Ex-Informant Says Florida Court Can’t Hear SEC Suit | Law360
Amid his related bid to hold the agency in contempt for violating a New Jersey federal court order, the ex-informant raised a jurisdictional challenge in asking the Florida court to toss an SEC complaint. Read Full Article
Bracing for the End: A Q&A on Rittenhouse Trial Strategy with Ford O’Brien Landy LLP’s Kevin J. O’Brien
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Heightened Crypto Enforcement Signaled by Multiple Federal Agencies
For years now, legislative inaction has given rise to jurisdictional ambiguities in the regulation of cryptocurrencies and decentralized finance (DeFi). Multiple regulatory agencies — most notably the U.S. Securities and Exchange Commission (SEC) and U.S. Commodity...
Hospital Must Turn Over Documents in Defamation Case
A federal judge has ruled that Mount Carmel must turn over documents, part of a back and forth over keeping them privileged. Attorneys with Ford O’Brien Landy LLP are representing a group of mostly nurses who filed a defamation suit. Read Full Article
Twice-Sued Former Broker Accuses SEC of Forum Shopping
Gentile claims the SEC flouted an October 2020 ruling dismissing a stock manipulation lawsuit against him in New Jersey, but then sued him in Florida. Adam C. Ford filed a motion arguing that the new lawsuit was an attempt to forum shop. Read Full Article
Attorney Kevin O’Brien’s Article Was Published in Reuters
Partner Kevin J. O’Brien states: “From my perspective, the prosecution was notable for an aggressive use of the wire and mail fraud statutes and a strategic distinction that raised legitimate questions the defense was unable to pursue”. #whitecollar #litigation Read...