Corporate Defense and Disputes

Important developments in U.S. securities law, white collar criminal defense, regulatory enforcement and other emerging issues impacting financial services institutions, publicly traded companies and private investment funds

Tracey Silver

Tracey Silver

Associate

Tracey Silver is an associate in the Labor & Employment Department and a member of the firm’s Employment Litigation & Arbitration Group.

Prior to joining Proskauer, Tracey was a judicial extern for the Honorable Frances Rothschild, Presiding Justice of Division One of the Court of Appeal, Second Appellate District.

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SEC’s 2016 Examination Priorities Focus on Retail Investors, Market Wide Risk and Use of Data Analytics

The recently issued Examination Priorities for 2016 reveals that the SEC’s priorities are organized around the same three thematic areas as last year: (i) retail investors, including retirement investments; (ii) market-wide risks; and (iii) the SEC’s increasing analysis of data to identify problematic activity.… Continue Reading

DOJ Breaks its Silence in 2015 FCPA Enforcement

Last week, the DOJ announced its first corporate enforcement action under the Foreign Corrupt Practice Act (“FCPA”) for 2015. IAP World Services, Inc., a Florida-based defense and government contractor, agreed to pay $7.1 million in a non-prosecution agreement (NPA) for conspiring to bribe Kuwaiti officials in exchange for a contract to build a large-scale homeland … Continue Reading

What Threats Can Muffle a Corporate Action? FINRA May Rely on SEC Enforcement Proceedings

In a pair of recent opinions, the Securities and Exchange Commission (SEC) found that FINRA acted within the scope of its rules and governing statutory scheme in refusing to announce corporate actions for companies whose executives were subjects of regulatory actions alleging securities laws violations. FINRA is a self-regulatory organization (SRO) responsible for regulating the … Continue Reading

Supreme Court Clarifies the Standard Governing Removal of Class Action Cases to Federal Court

The US Supreme Court ruled on Monday that class action defendants need not provide evidentiary submissions in support of their attempts to remove a case from state to federal court.  Rather, they need only include in their notice of removal a “plausible allegation” that the amount in controversy exceeds the jurisdictional threshold. In Owens v. … Continue Reading
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