Subject to Inquiry

Subject to Inquiry

THE LATEST ON GOVERNMENT INQUIRIES AND ENFORCEMENT ACTIONS

Government Investigations and White Collar Litigation Group

Nicholas J. Giles

Photo of Nicholas J. Giles Nick is a litigator in the firm’s Richmond office. He represents companies and individuals in civil, criminal, and regulatory matters, and at all stages of litigation.

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Supreme Court to Review When DOJ May Dismiss Relator Suits

By Jonathan Ellis, Nicholas J. Giles, Caroline Schmidt Burton and Joshua Wade on Fraud, Deception and False Claims
Last month, the Supreme Court granted certiorari in United States ex rel. Polansky v. Executive Health Resources, Inc., a case presenting the question whether the federal government forfeits the authority to dismiss False Claims Act (FCA) suits brought in its name if it first declines to intervene in them. Continue reading our commentary on The FCA Insider.… Continue Reading

Proposed Rules Aimed at High-Risk Brokers Confirm FINRA Push for Firms to “Do Their Part”

By William E. Goydan, Nicholas J. Giles and Government Investigations Group on Compliance, Enforcement and Prosecution Policy and Trends, Financial Institution Regulation
Financial Industry Regulatory Authority (FINRA) President and CEO Robert Cook spoke earlier this month at Georgetown University’s McDonough School of Business, where he outlined several proposals to further what he called one of FINRA’s “most important purposes”—“to protect investors from bad actors.”  Taking aim at “those who seek to evade regulatory requirements and harm investors… Continue Reading

Caldwell’s Comments Draw Criticism, Apology—But Might Her Advice Be Timely?

By Nicholas J. Giles on Enforcement and Prosecution Policy and Trends
It is no secret that top Department of Justice officials in Washington may occasionally be at odds with local prosecutors over charging or investigatory decisions made in U.S. Attorney offices around the country.  Indeed, DOJ Criminal Chief Leslie Caldwell was in the news last week for remarks she made during a Federalist Society luncheon in… Continue Reading

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