August 16, 2023 SEC Enforcement of Off-Channel Communications Continues – New Series of Firms Charged with Penalties Totaling $289 Million March 9, 2023 Introducing the Government and Regulatory Rundown – March 2023 March 3, 2023 DOJ Releases New Voluntary Self-Disclosure Policy November 2, 2022 DOJ’s Civil and Criminal Enforcement Focus on Corporate Cybersecurity September 22, 2022 DOJ’s Revised Corporate Criminal Enforcement Policies Encourage Voluntary Disclosure and Focus on Compensation June 22, 2022 Partners Robert Van Grover and Patricia Poglinco, along with counsel Philip Moustakis, featured in a Private Equity Law Report article titled, ” How Managers Can Navigate the Thin Line Between SEC Examinations and Enforcement” June 9, 2022 Seward & Kissel attorney Philip Moustakis featured in a Hedge Fund Law Report article titled, “Fifth Circuit Decision Could Hamstring SEC Enforcement Abilities” May 20, 2022 Seward & Kissel attorney Philip Moustakis featured in a Hedge Fund Law Report article titled, “Risk Alert Cites Compliance Issues Regarding Advisers’ Handling of MNPI” September 15, 2021 SEC Sanctions Multiple Investment Advisers and Broker-Dealers for Cybersecurity Violations February 1, 2021 Client Alert: On GME and Recent Market Volatility January 29, 2020 Partner Michael Considine co-authored an article in Corporate Counsel titled, “Developing an Effective Compliance Program.” January 25, 2019 Partner Bruce Paulsen and Associate Andrew Jacobson authored an article for the New York Law Journal titled, “A Primer: DFS Continues Aggressive International Sanctions Enforcement.” February 5, 2018 Partner Michael Considine and associate Andrew Jacobson co-authored an article in the New York Law Journal titled, “Critical DFS Cybersecurity Deadline Approaching: Corporate Officers and Directors on Notice.” November 3, 2017 Partner Marlon Paz, a former senior staff member at the SEC, and Associate Andrew Jacobson, a former DFS Enforcement Attorney, co-authored an article for the New York Law Journal titled, “DFS Flexes Enforcement and Regulatory Muscles in Equifax Hack Scandal.” November 11, 2015 First Jury Conviction for Commodities Fraud and Spoofing Load more
