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Publications
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12.20.2023FINRA’s In-House Courts Facing Challenges, Jarkesy Ripple EffectIn a commentary for Bloomberg Law, Rachel Mechanic and Daniel Zinman explain how FINRA's in-house tribunal system is defending constitutional challenges and may also have to navigate repercussions from a Supreme Court securities case.
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04.16.2021Business Texts on Personal Phones: The Growing Compliance and Enforcement Risk and What to Do About It (Part II of II)ArticlesEmployees’ use of unapproved messaging platforms for business-related communications—and their employers’ failure to monitor and preserve such communications, even if inadvertent—may also cause employers to provide incomplete responses to subpoenas or requests for information issued by prosecutors, enforcement staff, or private civil parties.
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04.08.2021Business Texts on Personal Phones: The Growing Compliance and Enforcement Risk and What to Do About It (Part I of II)ArticlesWith increasing frequency, securities and commodities regulators are focusing on employees’ use of personal mobile devices for business-related communications via applications that are not approved by employers or captured by employers’ archival systems.
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12.31.2020The CARES Act – Lenders BewareArticlesThe financial institutions, thrust as emergency lenders into the middle of loan programs under the Coronavirus Aid, Relief, and Economic Security Act (CARES Act), will necessarily also be in the middle of government fraud investigations that Congress has made clear will follow.
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06.12.2020Enforceability of Non-Compete Provisions During COVID-19 PandemicArticlesIn the financial industry, as in others, employees often enter into employment agreements that require them to give early notice of their intent to terminate their employment (often three to six months prior to leaving the job), followed by an agreement to comply with a covenant not to compete against their former employer for a period of time following termination of their employment.
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05.27.2020Defending Remote Testimony in White Collar, Securities CasesArticles
Law360
The new focus on remote witness interviews and testimony—a focus many believe will outlive the COVID-19 virus—presents new issues and implicates the way government and white collar defense lawyers investigate facts, interact with each other, and handle documents. -
05.07.2019U.S. v. Connolly: “Outsourcing” a Government Investigation—And How to Avoid ItArticlesIn the NYU Compliance & Enforcement Blog, the attorneys discuss the U.S. v. Connolly decision, in which the U.S. District Court for the Southern District of New York found that the government “outsourced” a criminal investigation to a global bank.
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02.26.2018SEC Issues Warning to Lawyers on ICOsArticlesOver the last several months, the SEC has intensified its threats to so-called "gatekeepers," especially in the area of initial coin offerings (ICOs) and cryptocurrencies. In testimony on Tuesday, February 6, 2018, before the Senate Committee on Banking, Housing, and Urban Affairs, SEC Chairman Jay Clayton reminded gatekeepers—including lawyers—that the SEC is laserfocused on them when they advise clients on ICOs.
Presentations
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11.14.2023
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07.13.2021Business Communications on Personal Phones: The Growing Compliance and Litigation Risk and What to Do About ItSpeaking EngagementsMyLawCLE / Webinar
