Dani James

Kramer Levin Naftalis & Frankel LLP

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New SEC Enforcement Division Director Signals Policy Shifts, Including Potential Emphasis on Admissions of Wrongdoing

In a recent speech at the Practising Law Institute’s annual SEC Speaks conference, Gurbir Grewal, the new director of the Division of Enforcement for the Securities and Exchange Commission (SEC or Commission), signaled...more

10/26/2021 / Board of Directors , Corporate Counsel , Corporate Governance , Enforcement Actions , Enforcement Priorities , Government Investigations , Publicly-Traded Companies , Regulatory Agenda , Securities and Exchange Commission (SEC)

In Echo of Expert Network Cases, SEC Reaches Securities Fraud Settlement with Alternative Data Provider

On Sept. 14, 2021, the Securities and Exchange Commission (SEC) entered a cease-and-desist order against App Annie Inc. and its co-founder and former CEO, Bertrand Schmitt, after agreeing to settle securities fraud claims....more

9/23/2021 / Cease and Desist Orders , Confidential Information , Corporate Counsel , Enforcement Actions , Rule 10b-5 , Securities and Exchange Commission (SEC) , Securities Exchange Act , Securities Fraud

In Unanimous Ruling, US Supreme Court Limits Criminal Restitution Orders Under the Mandatory Victims Restitution Act

In Lagos v. United States, decided on May 29, 2018, the U.S. Supreme Court unanimously held that restitution orders under the Mandatory Victims Restitution Act (MVRA) are limited to fees and expenses incurred during...more

6/6/2018 / Corporate Counsel , Crime Victims , Criminal Prosecution , Government Investigations , Internal Investigations , Lagos v United States , Litigation Fees & Costs , Mandatory Victim's Restitution Act , Restitution , SCOTUS , Wire Fraud

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