“Mr. Gentile is disappointed in Judge Martinotti’s decision, but he looks forward to winning his case against the SEC in the Miami action,” said Gentile’s attorney, Adam Ford, of Ford O’Brien Landy LLP. Read Full Article
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Month: March 2022
SEC Targets Auditor Conflicts of Interest
An independent auditor must remain free from conflicts of interest that could give the auditor a personal stake in the company they are auditing. This concept is at the heart of a probe being conducted by investigators from the Securities and Exchange Commission...
Attorney Kevin O’Brien’s Article Was Published in Reuters
Partner Kevin J. O’Brien states: “The case is far from over, however. Contrary to what some have predicted, it could possibly find its way to the Supreme Court.” Read Full Article
Goldman’s Top Execs Off Scot-Free at 1MDB Trial
Partner Kevin J. O’Brien on 1MDB trial: “You can’t deny the imprint of Goldman Sachs in this scheme,” said Kevin J. O’Brien. “They were the immediate beneficiaries. They were forced to plead guilty, but no one outside of the Asian bank suffered any consequences in the...
Possible Holmes Testimony Hangs Over Sunny Balwani’s Trial | Law360
Partner Kevin O’Brien, a former federal prosecutor turned white collar defense attorney, noted that prosecutors also have benefited from trying their case once already. They’ve seen what works and what doesn’t, he said. “Their case has been road-tested too, and they...
Avoiding SEC Communication Violations in the Digital Age
Broker-dealers and employees of publicly traded companies must be careful about how they communicate regarding securities trades. Under SEC Books and Records Rules, people in such positions are required to preserve comprehensive records regarding the purchase and sale...