SEC Enforcement

Investigations-Enforcement Actions – Securities & Exchange ...

Synopsis of the enforcement action taken by the SEC. In respect of the Offence of Insider Dealing · In respect of the Offence of Market/Price Manipulation ...

Former SEC Enforcement Official Carolyn Welshhans Joins Morgan ...

Morgan Lewis continues to build its deep bench of former government officials by welcoming Carolyn Welshhans, a 17-year veteran of the US ...

Jarkesy's Impact on Agency Enforcement Proceedings - K&L Gates

Jarkesy that when the Securities and Exchange Commission (SEC) seeks civil penalties against a defendant based on claims of securities fraud, ...

Client Alert: Key Takeaways from the SEC's Latest Enforcement ...

The SEC announced an enforcement sweep charging seven public companies with violating the whistleblower protections rule in various employment-related ...

Ex-SEC Lawyers Agree: Crypto Enforcement Shackles May Take ...

After years of legal wrangling with the U.S. securities regulator, President-elect Donald Trump's win was taken by the crypto industry as a ...

SEC Announces First Off-Channel Communications Enforcement ...

On April 3, 2024, the U.S. Securities and Exchange Commission (SEC) its first enforcement action against a registered investment adviser ...

David Oliwenstein Addresses Trump's SEC Under Second Term

Corporate Investigations & White Collar Defense partner David Oliwenstein, who is also a former SEC enforcement lawyer, told Global ...

SEC Enforcement of Off-Channel Communications Continues

The Securities and Exchange Commission (SEC) announced a $392.75 million civil penalty settlement of charges against 26 broker-dealers, investment advisers, ...

Ex-SEC Lawyers Agree: Crypto Enforcement Shackles May Take ...

... enforcement lawyer at the SEC and led some of its big crypto cases. "Gensler gets a lot of heat in the press about the Ripple case, but that ...

SEC Enforcement – Top Seven Developments from June 2024

impact Jarkesy will have on the bulk of the SEC's securities enforcement docket, as the SEC has ceased bringing matters seeking civil ...

SEC Enforcement Director Who Pushed for Big Fines Steps Down

Gurbir Grewal took a tough stance on the fast-growing cryptocurrency industry and pushed for big fines against Wall Street firms.

The SEC Speaks – Key Enforcement Priorities for 2024

Conclusion. The Division is expected to continue aggressive enforcement in the cryptocurrency space, against gatekeepers for alleged ...

SEC Crypto Enforcement Slated for Major Rollback Under Trump

The crypto industry poured millions of dollars into the presidential and congressional races, but its most salient election victory is ...

SEC Enforcement Actions: FCPA Cases

The SEC's Enforcement Division created a specialized unit to further enhance its enforcement of the FCPA, which prohibits companies issuing stock in the US ...

SEC Enforcement Actions Related to the Marketing Rule - Dinsmore

In failing to provide required disclosures for these endorsements, Howard Bailey Securities violated the requirements of the Marketing Rule.

What Do Recent SEC Enforcement Actions Mean for Cyber Controls?

This alert explores these recent developments, beginning with a refresher on the elements of DCP, internal accounting controls, and internal control over ...

SEC ESG Enforcement Is Still Alive | Crowell & Moring LLP

Investment Practices Scrutinized Notwithstanding ESG Task Force Dissolution On November 8, 2024 the SEC announced a settled enforcement ...

SEC Abandons ESG Enforcement Group Amid Broader Backlash (1)

The SEC has quietly disbanded a group of enforcement lawyers who helped bring litigation fighting misleading environmental, social and ...

SEC Enforcement Takes Broad View of Anti-Whistleblower Rule in ...

The US Securities and Exchange Commission (SEC) announced that it settled charges against affiliated investment-advisers and a broker-dealer over the use of ...

What to Expect from the SEC During a Second Trump Administration?

Under President Biden, SEC Chair Gary Gensler pursued a broad and aggressive enforcement agenda, with critics contending that the SEC pursued ...