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THE LATEST ON GOVERNMENT INQUIRIES AND ENFORCEMENT ACTIONS

Government Investigations and White Collar Litigation Group

R. Andrew Austria

Photo of R. Andrew Austria Drew’s practice focuses on representing corporate and individual clients in connection with government investigations, internal investigations, civil litigation, and white collar defense.

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Disruptive Technology Strike Force Announces Its First Declination to Prosecute Under the National Security Division’s Voluntary Self-Disclosure Program

Government Contracts, Sanctions, Trade Embargo, and Export Controls
On May 22, 2024, the Department of Justice’s National Security Division (“NSD”) announced its first declination of prosecution for a company under the voluntary self-disclosure program established by the National Security Division Enforcement Policy for Business Organizations (“NSD Enforcement Policy”). An individual who worked for a United States-based biochemical company, along with his co-conspirator, each… Continue Reading

Disruptive Technology Strike Force Continues Focus on Trade Secret Theft, Export Control Enforcement

Enforcement and Prosecution Policy and Trends, Government Contracts, Sanctions, Trade Embargo, and Export Controls
During a summit celebrating its one-year anniversary, the Disruptive Technology Strike Force provided updates on its efforts to prevent authoritarian regimes and hostile nation-states from acquiring critical technologies. Read on for details about a new expansion of the effort, recent prosecutions and the group’s continued focus on cases involving theft of trade secrets and export… Continue Reading

Disruptive Technology Strike Force Initiates Federal Prosecutions Targeting Trade Secret Theft

Enforcement and Prosecution Policy and Trends, Sanctions, Trade Embargo, and Export Controls
In early 2023, the U.S. Department of Justice and U.S. Department of Commerce launched the Disruptive Technology Strike Force to target illicit actors, strengthen supply chains and protect critical technology assets from theft by nation-state adversaries. Read on to learn about recent federal prosecutions initiated by the Strike Force, targeting theft of trade secrets and… Continue Reading

Department of Justice Announces National Cryptocurrency Enforcement Team

Enforcement and Prosecution Policy and Trends, Financial Institution Regulation
On October 6, 2021, the U.S. Department of Justice (DOJ) announced its plans for increased scrutiny of the cryptocurrency market with the creation of a National Cryptocurrency Enforcement Team (NCET) to pursue criminal investigations and actions against cryptocurrency misuse. The NCET will focus on “crimes committed by virtual currency exchanges, mixing and tumbling services, and… Continue Reading

Department of Justice Announces Increased FCA Enforcement Through New Civil Cyber-Fraud Initiative

Enforcement and Prosecution Policy and Trends, Fraud, Deception and False Claims
On October 6, 2021, the Department of Justice (DOJ) announced a new Civil Fraud Cyber Initiative to “combine the department’s expertise in civil fraud enforcement, government procurement and cybersecurity to combat new and emerging cyber threats to the security of sensitive information and critical systems.”… Continue Reading

DOJ Puts Collection of Civil Penalties on Hold in Response to COVID-19

Compliance
In a pair of recent memoranda from the Executive Office for United States Attorneys (“EOUSA”) issued on March 31, 2020, and April 13, 2020, the United States Department of Justice (“DOJ”) has effectively halted enforcement actions and the collection of civil penalties.  Included in this temporary suspension is the collection of civil penalties incurred in… Continue Reading

FINRA Issues New Guidance Regarding Customer Communications Relating to Departing Registered Representatives

Financial Institution Regulation
As recognized by new guidance from the Financial Industry Regulatory Authority (FINRA), the departure of a registered representative often prompts customer questions about the departing representative and the continued servicing of a customer’s account. In light of the continued frequency of movement of registered representatives from, or among, member firms, FINRA issued guidance on April… Continue Reading

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