Executives Beware: The DOJ and SEC Have Set Their Sights on Individual Wrongdoing [Insights: The Corporate & Securities Law Advisor]

Martin Bloor, a member of Cozen O'Connor's White Collar Defense & Investigations Practice Group, discusses how the Department of Justice (DOJ) and the Securities and Exchange Commission (SEC) are focusing on targeting individuals who are responsible for corporate wrongdoing in Insights: The Corporate & Securities Law Advisor. In recent years, the DOJ and SEC have faced criticism for the billions of dollars in fines against corporations for varieties of corporate misconduct, and lack of prosecutions of individual executives responsible for the misconduct. Attorney General Loretta Lynch has introduced the Yates Memo, which provides federal prosecutors and investigators with key steps to strengthen the pursuit of individuals in order to hold them accountable for corporate misconduct. The Yates Memo is in agreement with recent SEC initiatives, speeches by SEC officials, and other public statements signaling that they are also sharpening their focus against individuals.

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Martin S. Bloor



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