Day Pitney Announce Executive Committees
Day Pitney Litigation Partner Mark Salah Morgan's re-election to the firm's Executive Board and appointment to vice-chair of the Litigation department was featured in NJBiz.
Securities investigations and enforcement actions by the Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), U.S. Department of Justice, and other federal and state regulatory agencies continue unabated.
Lawyers on the White Collar Defense and Investigations team, often working with experienced colleagues in the firm's Corporate and Business Law group, have counseled numerous clients in connection with securities investigations and actions. We have represented companies and individuals in connection with all aspects of securities law enforcement, from litigation to complex investigations to preventive compliance. Some matters in this area include the following:
We have an established track record of convincing regulators to close investigations without taking action against our clients. We have persuaded SEC and SRO staff to reverse preliminary recommendations of enforcement action. We have assisted clients in reaching favorable settlements with regulators to avoid the risks of litigation and adverse publicity, and where settlement is not desirable, clients benefit from our considerable trial and appeals experience.
White Collar attorneys John Vukelj, Sarah Krissoff and Gregory R. Bruno authored an article for the New York Law Journal titled, "Stock Trading Plan Rule Amendments Augur Changes to Securities Fraud Litigation."
Day Pitney Alert
On March 16, Eliza Fromberg and Bob Appleton will lead presentations in a webinar held by The National Society of Compliance Professionals. The presentation called, "FinCEN’s Proposed AML Rule: Implications for Investment Advisers to Private Funds," will address some thorny and cutting edge issues raised by the proposed rule that would require SEC-registered investment advisers to establish AML programs, report suspicious activity to FinCEN, and comply with certain other provisions applicable to financial institutions under the Bank Secrecy Act.
Day Pitney Litigation Partner Mark Salah Morgan's re-election to the firm's Executive Board and appointment to vice-chair of the Litigation department was featured in NJBiz.
Day Pitney Press Release
Day Pitney Attorney Stanley Twardy's selection as the recipient of the 2023 Richard Law Award by the judges of the District of Connecticut was featured in the Fairfield County Business Journal article, "Stamford Lawyer Receives Prestigious Award for Service to the Federal Court."
Day Pitney Attorney Stanley Twardy's selection as the recipient of the 2023 Richard Law Award by the judges of the District of Connecticut was featured in Law360 Pulse article, "Conn. Federal Court Shines Light On Day Pitney Atty's Service."
Day Pitney Attorney Stanley Twardy's selection as the recipient of the 2023 Richard Law Award by the judges of the District of Connecticut was featured in the Connecticut Law Tribune article, "Connecticut Movers: Award for Twardy."
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