Clark A. Freeman

Clark A. Freeman is an associate in the Litigation Department of Sullivan & Worcester. Mr. Freeman has experience on a wide range of commercial litigation matters, including matters involving securities law, class actions, complex financial products, government investigations and arbitration agreements. Prior to joining the firm, Mr. Freeman served as a law clerk to the Honorable Lewis A. Kaplan of the United States District Court for the Southern District of New York and to Chief Judge Jonathan Lippman of the New York State Court of Appeals.
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Recent Posts

Congress Poised to Extend Investment Company Act to U.S. Territories

Posted by Clark A. Freeman on Jul 13, 2016 9:47:43 AM

Congress is poised to eliminate the exemption in the Investment Company Act of 1940 (the 1940 Act) for investment companies located in Puerto Rico, the Virgin Islands, and other U.S. possessions. The 1940 Act governs investment companies, such as mutual funds, with the aim of protecting investors in those investment companies. Since its enactment, the 1940 Act has exempted investment companies located in U.S. possessions, apparently due to the challenges the Securities and Exchange Commission would have faced in administering the 1940 Act in remote territories at the time. That may be about to change.

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Topics: U.S. Territories Investor Protection Act, investment company act of 1940, Puerto Rico

Six Guidelines for Understanding the Yates Memo

Posted by Clark A. Freeman on Dec 14, 2015 3:08:14 PM

Guidelines for the Yates MemoMuch ink already has been spilt on the September 9, 2015 Department of Justice policy memorandum signed by Deputy Attorney General Sally Yates. The Yates Memo signaled a shift in the DOJ’s approach to prosecution of white-collar crime towards an increased focus on pursuing individual executives and employees for corporate wrongs. 

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Topics: yates memo, corporate wrongdoing, Department of Justice, white-collar crime

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