Rick Liu

Rick Liu

Perkins Coie

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Latest Posts › Department of Justice (DOJ)

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U.S. Agencies Step Up Insider Trading Enforcement Against Foreign Nationals, Particularly Chinese Traders

Investigations and enforcement actions by the U.S. Securities and Exchange Commission (SEC) and U.S. Department of Justice (DOJ) targeting potential illegal insider trading by foreign nationals, particularly by those in...more

6/14/2017  /  Brokerage Accounts , Burden of Proof , China , Department of Justice (DOJ) , Enforcement Actions , Foreign Nationals , Foreign Securities , Insider Trading , Securities and Exchange Commission (SEC) , Securities Violations

Silicon Valley in the Crosshairs: SEC and DOJ Target Fraud Involving Pre-IPO Companies

Historically, regulators have been reluctant to interfere with the complex world of pre-IPO financing and private market transactions, which tend to involve the most sophisticated investors. However, several recent public...more

6/10/2016  /  Criminal Investigations , Department of Justice (DOJ) , Emerging Technology Companies , Enforcement Actions , Initial Public Offering (IPO) , Private Equity , Securities and Exchange Commission (SEC) , Silicon Valley , Startups
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