s SEC Provides for Phased CAT Broker-Dealer Reporting Timelines with Conditional Exemption for Impacts of COVID-19 By www.sec.gov Published On :: Mon, 20 Apr 2020 19:45:00 -0400 The Securities and Exchange Commission announced it has voted to issue two exemptive orders in order to move Consolidated Audit Trail (CAT) implementation forward: (1) establishing a phased CAT reporting timeline for broker-dealers, and (2) permitting… Full Article
s SEC Proposes to Modernize Framework for Fund Valuation Practices By www.sec.gov Published On :: Tue, 21 Apr 2020 19:20:00 -0400 The Securities and Exchange Commission today announced that it has voted to propose a new rule that would establish a framework for fund valuation practices. The rule is designed to clarify how fund boards can satisfy their valuation obligations in… Full Article
s Louis Gracia and Vanessa Horton Named Associate Directors of Investment Adviser/Investment Company Examination Program in Chicago Regional Office By www.sec.gov Published On :: Fri, 24 Apr 2020 11:59:00 -0400 The Securities and Exchange Commission today announced that Louis Gracia and Vanessa Horton have been named Associate Directors of the Investment Adviser/Investment Company (IA/IC) examination program in the agency's Chicago Regional Office. Together, Mr… Full Article
s SEC Forms Cross-Divisional COVID-19 Market Monitoring Group By www.sec.gov Published On :: Fri, 24 Apr 2020 14:00:00 -0400 The Securities and Exchange Commission today announced the formation of an internal, cross-divisional COVID-19 Market Monitoring Group. This temporary, senior-level group will assist the Commission and its various divisions and offices in (1)… Full Article
s SEC Announces Investor Advisory Committee Meeting Focusing on COVID-19 By www.sec.gov Published On :: Mon, 27 Apr 2020 15:30:00 -0400 The Securities and Exchange Commission's Investor Advisory Committee will hold a public meeting on May 4, 2020, by remote means. The meeting will begin at 2 p.m. ET, is open to the public via live webcast, and will be archived… Full Article
s SEC Charges Company and CEO for COVID-19 Scam By www.sec.gov Published On :: Tue, 28 Apr 2020 12:40:00 -0400 The Securities and Exchange Commission today announced charges against Praxsyn Corp. and its CEO for allegedly issuing false and misleading press releases claiming the company was able to acquire and supply large quantities of N95 or similar masks to… Full Article
s SEC Awards Over $18 Million to Whistleblower By www.sec.gov Published On :: Tue, 28 Apr 2020 13:45:00 -0400 The Securities and Exchange Commission today announced an award of more than $18 million to a whistleblower whose significant information prompted an examination that resulted in an important enforcement action. The whistleblower repeatedly reported the… Full Article
s Small Business Capital Formation Advisory Committee to Discuss the SEC’s Capital Formation Proposal on May 8 By www.sec.gov Published On :: Tue, 28 Apr 2020 17:15:00 -0400 The Securities and Exchange Commission today released the agenda for the Friday, May 8 meeting of its Small Business Capital Formation Advisory Committee, which will be hosted via video conference. The Committee will discuss the Commission’s recent… Full Article
s SEC Awards Almost $2 Million to Whistleblower By www.sec.gov Published On :: Mon, 04 May 2020 09:50:00 -0400 The Securities and Exchange Commission today announced an award of nearly $2 million to a whistleblower whose information and assistance helped the agency bring a successful enforcement action and allowed investors to recover much of their money. … Full Article
s SEC Provides Temporary, Conditional Relief to Allow Small Businesses to Pursue Expedited Crowdfunding Offerings By www.sec.gov Published On :: Mon, 04 May 2020 14:18:00 -0400 The Securities and Exchange Commission today announced that it is providing temporary, conditional relief for established smaller companies affected by COVID-19 that may look to meet their urgent funding needs through a Regulation Crowdfunding offering.… Full Article
s SEC Commemorates Teacher Appreciation Week, Highlights Ongoing Commitment to Serving Teachers By www.sec.gov Published On :: Tue, 05 May 2020 13:45:00 -0400 The Securities and Exchange Commission announced that it is premiering new multimedia resources to support teachers in connection with Teacher Appreciation Week. This content builds on the Commission’s longstanding efforts to serve teachers in both their… Full Article
s SEC Directs Equity Exchanges and Financial Industry Regulatory Authority to Improve Governance of Market Data Plans By www.sec.gov Published On :: Wed, 06 May 2020 14:03:00 -0400 The Securities and Exchange Commission today issued an order directing the equity exchanges and the Financial Industry Regulatory Authority (FINRA) (the participants) to submit a new National Market System plan (NMS plan) with a modernized governance… Full Article
s SEC Charges Bloomberg Tradebook for Order Routing Misrepresentations By www.sec.gov Published On :: Wed, 06 May 2020 16:35:00 -0400 The Securities and Exchange Commission today filed settled charges against registered broker-dealer Bloomberg Tradebook LLC for making material misrepresentations and omitting material facts about how the firm handled certain customer trade orders. The… Full Article
s SEC Investor Advisory Committee to Meet Virtually on May 21 By www.sec.gov Published On :: Thu, 07 May 2020 15:30:00 -0400 The Securities and Exchange Commission's Investor Advisory Committee will hold a public meeting on May 21, 2020 by remote means. The meeting will begin at 10 a.m. ET, is open to the public via live webcast, and will be archived on… Full Article
s U.S. v. PCI FlorTech, Inc. By www.justice.gov Published On :: Thu, 26 Sep 2019 15:44:03 GMT Document filed on September 19, 2019 Plea Agreement Full Article
s U.S. v. Igor Yurkovetsky By www.justice.gov Published On :: Thu, 26 Sep 2019 19:43:07 GMT Document filed on September 24, 2019 Plea Agreement and Sentencing Stipulations Full Article
s U.S. v. Dip Shipping Company, LLC By www.justice.gov Published On :: Fri, 04 Oct 2019 16:07:09 GMT Document filed on September 17, 2019 Information Full Article
s U.S. v. Francis Alvarez By www.justice.gov Published On :: Fri, 18 Oct 2019 21:23:47 GMT Document filed on October 2, 2019 Information Full Article
s U.S. v. Delmar E. Church, Jr., et al. By www.justice.gov Published On :: Tue, 17 Dec 2019 16:15:31 GMT Document filed on December 10, 2019 Information Full Article
s U.S. v. Detloff Marketing and Asset Management, Inc., et al. By www.justice.gov Published On :: Wed, 08 Jan 2020 19:41:08 GMT Documents filed on July 25, 2019 Plea Agreement and Sentencing Stipulations [Lori K. Detloff] Plea Agreement and Sentencing Stipulations [Jeffery J. Detloff] Plea Agreement and Sentencing Stipulations [Detloff Marketing] Full Article
s U.S. v. Paul M. Camara, Jr. By www.justice.gov Published On :: Thu, 06 Feb 2020 18:31:39 GMT Documents filed on July 19, 2019 Plea Agreement Information Full Article
s U.S. v. Alan Gaines By www.justice.gov Published On :: Thu, 06 Feb 2020 20:04:02 GMT Document filed on January 30, 2020 Indictment Full Article
s U.S. v. Langan Insulation, LLC By www.justice.gov Published On :: Fri, 07 Feb 2020 15:07:49 GMT Documents filed on February 3, 2020 Plea Agreement Letter Information Full Article
s U.S. v. Thomas F. Langan By www.justice.gov Published On :: Fri, 07 Feb 2020 17:43:51 GMT Documents filed on February 3, 2020 Plea Agreement Letter Information Full Article
s U.S. v. Carter Brett By www.justice.gov Published On :: Tue, 11 Feb 2020 21:08:19 GMT Document filed on February 5, 2020 Information Full Article
s U.S. v. Ara Aprahamian By www.justice.gov Published On :: Wed, 19 Feb 2020 14:00:28 GMT Document filed on February 4, 2020 Indictment Full Article
s U.S. v. Sandoz, Inc. By www.justice.gov Published On :: Fri, 06 Mar 2020 21:01:23 GMT Documents filed on March 2, 2020 Information Deferred Prosecution Agreement Full Article
s U.S. v. NHK Spring Co., Ltd. By www.justice.gov Published On :: Thu, 12 Mar 2020 19:21:19 GMT Document filed on December 5, 2019 United States' Sentencing Memorandum Full Article
s U.S. v. Hector Armando Kellum By www.justice.gov Published On :: Wed, 11 Mar 2020 19:39:44 GMT Document filed on February 14, 2020 Plea Agreement Full Article
s Man Arrested for Theft of Military Property By www.justice.gov Published On :: Thu, 08 Aug 2019 00:00:00 -0400 Full Article
s Eight Defendants Charged with Running Two of the Largest Illegal Television Show and Movie Streaming Services in the United States By www.justice.gov Published On :: Tue, 27 Aug 2019 00:00:00 -0400 A federal grand jury returned an indictment today charging eight individuals with conspiring to violate federal criminal copyright law by running two of the largest unauthorized streaming services in the United States, resulting in the loss of millions of dollars by television program and motion picture copyright owners. Full Article
s Former Virginia Tech Professor Sentenced for Grant Fraud, False Statements, Obstruction By www.justice.gov Published On :: Mon, 09 Sep 2019 00:00:00 -0400 Full Article
s Defendant who conspired to steal aircraft secrets pleads guilty By www.justice.gov Published On :: Mon, 16 Sep 2019 00:00:00 -0400 A North Carolina man has admitted taking part in a conspiracy to steal design information from aircraft companies to speed up approval of competing airplane technology. Full Article
s Couple Who Worked at Local Research Institute for 10 Years Charged with Stealing Trade Secrets, Wire Fraud By www.justice.gov Published On :: Mon, 16 Sep 2019 00:00:00 -0400 A former Dublin, Ohio, couple has been charged with crimes related to stealing exosome-related trade secrets concerning the research, identification and treatment of a range of pediatric medical conditions announced Assistant Attorney General John C. Demers of National Security, U.S. Attorney Benjamin C. Glassman for the Southern District of Ohio, Assistant Director John Brown of the Counterintelligence division and FBI Special Agent in Charge Todd Wickerham of the Cincinnati division. Full Article
s Boise Man Pleads Guilty to Multi-Million Dollar Counterfeit Cellphone Scheme By www.justice.gov Published On :: Thu, 26 Sep 2019 00:00:00 -0400 Full Article
s Businessman Sentenced to a Year in Prison for Stealing Employer’s Trade Secrets While Planning New Job in China By www.justice.gov Published On :: Thu, 10 Oct 2019 00:00:00 -0400 Businessman Sentenced to a Year in Prison for Stealing Employer’s Trade Secrets While Planning New Job in China Full Article
s Chinese National Sentenced to Prison for Conspiring to Illegally Export Military- and Space-Grade Technology from the United States to China By www.justice.gov Published On :: Fri, 18 Oct 2019 00:00:00 -0400 Full Article
s Assistant Attorney General Brian A. Benczkowski Delivers Remarks at the Thirteenth Law Enforcement and Industry Meeting on Intellectual Property Enforcement By www.justice.gov Published On :: Wed, 06 Nov 2019 00:00:00 -0500 This conference offers a great opportunity for CCIPS, the Department, and each of our law enforcement colleagues gathered at the table today to discuss our shared efforts in IP enforcement, and to hear your comments about the latest successes and challenges. It’s an event that benefits all of us. Full Article
s Chinese National Pleads Guilty to Committing Theft of Trade Secrets By www.justice.gov Published On :: Tue, 12 Nov 2019 00:00:00 -0500 TULSA, Okla. – Hongjin Tan, a 35 year old Chinese national and U.S. legal permanent resident, pleaded guilty Tuesday in federal court to committing theft of trade secrets from his employer, a U.S. petroleum company. Full Article
s Newport Man Pleads Guilty to Copyright Infringement for Creating Illegal Video Streaming and Downloading Websites By www.justice.gov Published On :: Mon, 25 Nov 2019 00:00:00 -0500 Full Article
s Las Vegas Businessman Sentenced to Prison for Trafficking More Than $1 Million in Counterfeit Electronics By www.justice.gov Published On :: Mon, 09 Dec 2019 00:00:00 -0500 Full Article
s Grayson County Woman Sentenced for Wire Fraud Conspiracy By www.justice.gov Published On :: Fri, 24 Jan 2020 00:00:00 -0500 Rosemary Wolf pleaded guilty on June 12, 2019, to conspiracy to commit wire fraud and was sentenced to 51 months in federal prison by U.S. District Judge Amos L. Mazzant on Jan. 2, 2020. Full Article
s California man who hacked into Nintendo servers to steal video games and other proprietary information pleads guilty By www.justice.gov Published On :: Fri, 31 Jan 2020 00:00:00 -0500 Seattle – A 21-year-old Palmdale, California, man pleaded guilty today in U.S. District Court in Seattle to federal crimes related to his computer hacking scheme and his possession of child pornography found on his digital devices, announced U.S. Attorney Brian T. Moran. Full Article
s American Businessman Who Ran Houston-Based Subsidiary of Chinese Company Sentenced to Prison for Theft of Trade Secrets By www.justice.gov Published On :: Tue, 11 Feb 2020 00:00:00 -0500 The head of a Houston-based company that was the subsidiary of a Chinese company that developed stolen trade secrets was sentenced to 16 months in prison and ordered to forfeit more than $330,000 by U.S. District Judge Christopher R. Cooper of the District of Columbia. Full Article
s Chinese Telecommunications Conglomerate Huawei and Subsidiaries Charged in Racketeering Conspiracy and Conspiracy to Steal Trade Secrets By www.justice.gov Published On :: Thu, 13 Feb 2020 00:00:00 -0500 A superseding indictment was returned yesterday in federal court in Brooklyn, New York, charging Huawei Technologies Co. Ltd. (Huawei), the world’s largest telecommunications equipment manufacturer, and two U.S. subsidiaries with conspiracy to violate the Racketeer Influenced and Corrupt Organizations Act (RICO). Full Article
s Defendant who conspired to steal aircraft secrets sentenced to 70 months in federal prison By www.justice.gov Published On :: Tue, 18 Feb 2020 00:00:00 -0500 A North Carolina man who took part in a conspiracy to steal design information from aircraft companies to speed up approval of competing airplane technology has been sentenced to nearly six years in federal prison. Full Article
s Chinese National Sentenced for Stealing Trade Secrets Worth $1 Billion By www.justice.gov Published On :: Thu, 27 Feb 2020 00:00:00 -0500 TULSA, Okla. –A former associate scientist was sentenced Thursday in federal court for stealing proprietary information worth more than $1 billion from his employer, a U.S. petroleum company. Full Article
s Former Acting Inspector General for the U.S. Department of Homeland Security Indicted on Theft of Government Property and Scheme to Defraud the United States Government By www.justice.gov Published On :: Fri, 06 Mar 2020 00:00:00 -0500 A federal grand jury in the District of Columbia returned a 16-count indictment against a former Acting Inspector General for the U.S. Department of Homeland Security (DHS) and a former subordinate for their alleged theft of proprietary software and confidential databases from the U.S. government as part of a scheme to defraud the U.S. government. Full Article
s Former Uber Self-Driving Car Executive Signs Agreement To Plead Guilty To Theft Of Trade Secrets From Google By www.justice.gov Published On :: Thu, 19 Mar 2020 00:00:00 -0400 SAN JOSE - Anthony Scott Levandowski submitted documents today requesting that the court accept his plea of guilty to theft of trade secrets charges, announced United States Attorney David L. Anderson and Federal Bureau of Investigation Special Agent in Charge John F. Bennett. The documents include a request to William H. Alsup, United States District Judge, to accept a proposed plea agreement and a request to schedule a date for a sentencing hearing. Full Article
s Finance of America Reverse Agrees to Pay $2.47 Million to Resolve Alleged Liability for FHA-Insured Reverse Mortgage Lending Violations By www.justice.gov Published On :: Tue, 31 Mar 2020 00:00:00 -0400 Full Article
