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Representation of hedge fund trader in connection with federal insider trading investigation. President Barack Obama laid the groundwork for sector-based sanctions on key areas of the Russian economy in Executive Order 13662, dated March 20, 2014 (E. 13662).[1] On July 16, 2014, the threatened sector-based sanctions became a reality...

Representation relating to potential federal forfeiture proceeding involving antiquities. But those terms are not self-defining, and the Court did not... In the Willis of New York webinar “SEC Investigation Response for Asset Managers: How to Prepare and Mistakes to Avoid,” SRZ partner Gary Stein and special counsel Theodore A. Attorney’s Office for the Southern District of New York recently announced the adoption of new policies designed to forfeit the pensions of New York state and local officials convicted of federal corruption charges. Schulte Roth & Zabel attorneys have collaborated to update and expand Insider Trading Law and Compliance Answer Book 2014, a book published by Practising Law Institute.

Representation of company in connection with investigation into possible OFAC violations. Court of Appeals for the Second Circuit held on Dec. (now known as Vencore Inc.) in The SI’s purchase of Qineti Q Group’s U. Services division for an initial cash consideration of 5 million plus a potential earnout... United States could prove significant for white-collar practitioners.

Representation of financial institution in connection with money laundering allegations regarding customer and related DOJ forfeiture proceeding. 10 that to sustain insider trading charges against a tippee who trades on material non-public information, the government must prove... 21, SRZ and the New York Civil Liberties Union announced the historic settlement of Hurrell-Harring v. Treasury Department and its Office of Foreign Assets Control imposed new sanctions and strengthened existing... 25, added the cybersecurity industry’s only provider of context-aware solutions... The United States and others have imposed economic sanctions and issued anti-money-laundering, or AML, advisories in the wake of the growing political tensions between the United States and Russia over the fate of Ukraine. The United States and others have imposed economic sanctions and issued anti-money laundering advisories in the wake of the growing political tensions between the United States and Russia over the fate of Ukraine. The United States and others have imposed economic sanctions and issued anti-money laundering advisories in the wake of the growing political tensions between the United States and Russia over the fate of Ukraine. The decision coins a new legal term — “obtainable property” — that not only will govern future Hobbs Act...

Representation of private equity fund manager in connection with FCPA investigation. The SEC and DOJ are continuing to investigate and prosecute insider trading cases at a rate not seen in a generation or more, and even the New York State Attorney General has become involved in the area. Keyes discuss the increasing exposure of investment advisers and hedge... This comprehensive treatise offers an explanation of both the basics and...

Representation of company in conducting internal investigation of alleged FCPA violations. Supreme Court limited the scope of the honest services fraud statute (18 U. SRZ represented Veritas Capital and its portfolio company The SI Organization Inc. Attorney’s Office for the Southern District of New York recently announced the adoption of new policies designed to forfeit the pensions of New York state and local officials convicted of federal corruption charges. The Supreme Court’s invalidation of a Hobbs Act conviction in Sekhar v.

Representation of chairman of audit committee of major retailer in connection with SEC investigation arising out of company's non-filing of financial statements. Albany County March 11, 2015) (approving and ordering settlement agreement that provides funding and state oversight to public defense providers in defendant counties); 15 N. C., November 2010 “Risk Management in a Changing Environment,” SRZ 19th Annual Private Investment Funds Seminar, New York, January 2010 “Crisis Management: Lessons Learned from 2008,” SRZ 18th Annual Private Investment Funds Seminar, New York, January 2009 “Regulatory Investigations: What You Should Know But Were Afraid to Ask,” CCO University Webinar, May 2008 “Challenges in a Down Market,” SRZ 17th Annual Private Investment Funds Seminar, New York, January 2008 “FCPA Update: The Where, the Who and the What,” SRZ Securities Enforcement Seminar, May 2006 “Renewed Focus on the Foreign Corrupt Practices Act,” SRZ Securities Enforcement Seminar, May 2005 “Steering Clear of Obstruction of Justice and Related Risks Once an Investigation Begins,” SRZ Securities Enforcement Seminar, October 2004 On Oct. Court of Appeals for the Second Circuit held on Dec. Recent legislative, regulatory and judicial developments relating to insider trading reflect an increased focus on preventing and prosecuting the trading of securities and commodities based on material nonpublic information. On July 1, 2010, President Obama signed into law the Comprehensive Iran Sanctions, Accountability, and Divestment Act of 2010 (“CISADA”), to protect the security and interests of the United States by helping to prevent Iran from developing nuclear...

Representation of CFO of food products company in connection with SEC stock options investigation. New York, which overhauls public defense in five New York counties and lays the foundation for statewide reform of New York’s broken public... SRZ advised Veritas Capital in the 0-million acquisition of IT software company Beyond Trust Software Inc. This is an update to Schulte Roth & Zabel’s July 30, 2014 Client Alert titled “Threatened Sectoral Sanctions Against Russia Become Reality.”On Sept. The National Legal Aid & Defender Association (NLADA) has selected SRZ to receive its 2013 Beacon of Justice Award.

Representation of public company in SEC stock options investigation and related internal investigation, shareholder litigation and NASDAQ delisting proceedings. Representation of public company in internal investigation and related DOJ and SEC investigations involving alleged FCPA violations. E.2d 217 (2010) (upholding putative class action complaint alleging public defense system deprives indigent criminal defendants of constitutional right to counsel). Schulte Roth & Zabel attorneys have collaborated to update and expand Insider Trading Law and Compliance Answer Book 2013, a book published by Practising Law Institute. Court of Appeals for the Second Circuit has become the second court of appeals to reject the government’s broad interpretation of the statute defining “proceeds” for purposes of federal forfeiture proceedings. Recent legislative, regulatory and judicial developments relating to insider trading reflect an increased focus on preventing and prosecuting the trading of securities and commodities based on material nonpublic information. Two recent developments bring the potential for individual criminal liability under the U. Foreign Corrupt Practices Act ("FCPA") back into the spotlight.

Representation of audit committee of supermarket chain in internal investigation into alleged accounting fraud involving promotional allowances, conducted in parallel with U. Representation of leasing company in connection with investigation by New York State Attorney General and several other state attorneys general arising out of alleged telecommunications fraud. “The New Anti-Money Laundering Rule,” SRZ 25th Annual Private Investment Funds Seminar, New York, January 2016 “Trading Compliance,” SRZ 24th Annual Private Investment Funds Seminar, New York, January 2015 “FCPA, M&A and Private Equity,” SRZ Webinar, July 2014 “SEC Investigation Response for Asset Managers: How to Prepare and Mistakes to Avoid,” Willis of New York Webinar, June 2014 Herbert L. LLC SEC Investigation Response for Hedge Fund Managers: How to Prepare and Mistakes to Avoid, Chicago, May 2013 “FCPA Issues for Fund Managers,” SRZ 22nd Annual Private Investment Funds Seminar, New York, January 2013 “Insurance Implications and Considerations of an Investigation,” Herbert L. LLC SEC Investigation Response for Hedge Fund Managers: How to Prepare and Mistakes to Avoid, New York, December 2012 “The Foreign Corrupt Practice Act: How Funds Can Mitigate Risks,” SRZ Investment Management Hot Topics, New York, May 2012 “Recent Developments in US Insider Trading Law and FCPA Enforcement,” SRZ Webinar, February 2012 “Insider Trading: Latest Insights,” SRZ 21st Annual Private Investment Funds Seminar, New York, January 2012 “Gifts, Entertainment & Hospitality in High Risk Markets – A Practical Guide on What You Can and Can’t Do,” ACI 26th National Conference on the Foreign Corrupt Practices Act, Washington, DC, November 2011 “Privilege Issues and Ethical Traps in Conducting the Investigation,” Practising Law Institute Internal Investigations 2011: Investigations in the Aftermath of Dodd-Frank, New York, June 2011 “FCPA and UK Bribery Act Enforcement for Asset Managers,” New York State Bar Association Securities Regulation Committee of the Business Law Section's Private Investment Funds Subcommittee Meeting, New York, June 2011 “Fundamentals of FCPA Compliance: The Foreign Corrupt Practices Act Demystified,” ACI 25th Global Conference on the Foreign Corrupt Practices Act, New York, April 2011 “Managing Regulatory Exposure,” SRZ 20th Annual Private Investment Funds Seminar, New York, January 2011 “Fundamentals of FCPA Compliance: The Foreign Corrupt Practices Act Demystified,” ACI 24th Global Conference on the Foreign Corrupt Practices Act, Washington, D. This comprehensive treatise, which includes a new chapter on insider trading by... These developments underscore the extensive reach of the FCPA, which can extend criminal...

He has conducted numerous internal investigations involving potential violations of the Foreign Corrupt Practices Act, financial statement fraud, money laundering and other matters, and advises companies on compliance with the FCPA and anti-money laundering and OFAC regulations. His civil litigation experience includes claims of fraud and breach of contract, securities class actions and derivative actions, contests over corporate control, and disputes arising from the sale of a business. Gary has been presented with Burton Awards for Distinguished Legal Writing: In 2008, he won for co-authoring “The Foreign Corrupt Practices Act: Recent Cases and Enforcement Trends,” which appeared in the Representation of financial institution in connection with federal money laundering investigation.

He has handled more than 150 appeals in federal and state courts involving issues of both criminal law and procedure and complex commercial law. Representation of bank AML officer in connection with federal money laundering investigation.

Gary Stein focuses on white-collar criminal defense and securities regulatory matters, complex commercial litigation, internal investigations, anti-money laundering issues, civil and criminal forfeiture proceedings and appellate litigation.He represents public companies, financial institutions, hedge funds, other entities and individuals as subjects, victims and witnesses in federal and state criminal investigations and regulatory investigations by the SEC, SROs and state attorneys general. Attorney and chief appellate attorney in the Southern District of New York, Gary investigated, prosecuted, tried and represented the government on appeal in numerous white-collar criminal cases involving money laundering, fraudulent investment schemes, bank fraud, insider trading, art theft, illegal kickbacks, terrorist financing and other financial crimes. An accomplished public speaker and writer, he has presented on FCPA, insider trading, risk management and crisis management issues at a number of conferences.



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