Michael Yaeger

SEC Prescribes Higher FINRA Gift Limit - On February 12, 2026, the Securities and Exchange Commission approved an amendment to Financial Industry Regulatory Authority (FINRA) Rule 3220. Rule 3220 prescribes the maximum...more On March 10, 2026, the Department of Justice announced what it described as the “first-ever Department-wide corporate enforcement policy for criminal matters,” covering all corporate criminal matters except for antitrust...more Internal investigations have long been a valuable tool for companies and their executives to manage civil, regulatory, and criminal liability. By investigating potential corporate misconduct with the help of counsel, a...more In September 2022, the SEC and CFTC fined some of the largest financial services firms in the world approximately $1.8 billion for texting. Specifically, for failing to maintain or preserve “off-channel communications” on...more