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Securities Litigation and Regulatory Enforcement
SEC Charges Public Company Executives with Insider Trading Despite Trading Through Purported Rule 10b5-1 Trading Plans
(09.26.22)
Florida District Court Permits the SEC to Pay Disgorgement to the US Treasury Where Victims of the Fraud Could not be Identified
(09.12.22)
SEC Expands and Renames Cyber Unit to "Crypto Assets and Cyber Unit"
(05.04.22)
The PCAOB Brings First Failure-To-Supervise Case
(04.07.22)
SEC Settles Municipal Bond Fraud Case Against Texas School District and Former CFO, and Suspends External Auditor
(03.18.22)
SEC Complaint Upheld in Rare - But Not Unprecedented - Shadow Trading Case
(01.21.22)
SEC's Fort Worth Regional Office Investigating Underwriter Disclosures on Environmental, Social, and Governance Issues
(01.07.22)
SEC and DOJ Bring Parallel Civil and Criminal Charges Against Five Russians for $82 Million Hack-And-Trade Scheme
(12.20.21)
SEC Charges Case Featuring Alleged Wash Sales Involving Options of "Meme Stocks"
(10.06.21)
SEC and DOJ Bring Parallel Cases Alleging $8 Million Serial Insider-Trading Scheme
(09.17.21)
SEC Increases Financial Thresholds for Qualified Clients
(08.16.21)
SEC Brings Significant SPAC Enforcement Action
(07.14.21)
SEC Conducts Sweep of Customers Impacted by SolarWinds Cyber Breach
(06.22.21)
SEC Brings "Naked Short Selling" Case
(05.27.21)
SEC Investment Advisers: Texas says "April Fools!" to Federal Preemption?
(04.07.21)
SPACs in the Spotlight: Skyrocketing Deal Volume Invites Regulatory Scrutiny
(03.26.21)
What Investment Advisers and Fund Managers can Expect from the SEC Under the Biden Administration
(03.10.21)
What to Expect from the SEC Under the Biden Administration
(02.08.21)
When PPP met OBA - An Investigation was Born
(02.02.21)
Four Things You Need to Know About the Extended Limitations Period for SEC Disgorgement
(01.06.21)
SEC Adopts Amendments to "Accredited Investor" Definition
(11.16.20)
Achieving Diversity and Inclusion within the Securities and Financial Management Industry and its Legal Partners
(09.25.20)
Charges Against Marble Ridge Capital Founder Illustrate the Pitfalls That Await Members of Unsecured Creditors' Committees Who Ignore Their Fiduciary Duties
(09.04.20)
Supreme Court Affirms SEC's Authority to Obtain Disgorgement, But Recognizes Limits on Such Relief
(06.25.20)
Don't Cry (or Lie) Over Skim Milk: SEC Charges Ron Swanson with Securities Fraud
(05.14.20)
What a Business Should Know Before Triggering a MAC Clause Based on COVID-19
(04.15.20)
Fraud in the Time of Covid-19
(04.06.20)
The SEC Opts Not to Extend Reg BI and Form CRS Compliance Deadline
(04.03.20)
RIAs & Advisors Consider CARES Act PPP Loan Participation: Getting the Application Right Takes Diligence
(04.03.20)
The SEC Grants Temporary Relief Due to the Coronavirus COVID-19 Pandemic
(03.16.20)
SEC Proposes to Update "Accredited Investor" Definition
(03.11.20)
Steven Seagal is not "Above the Law" in Crypto Scalping Case
(02.27.20)
Risky Business: How Departing Brokers Can Unintentionally Trip Reg. BI
(02.21.20)
It's the Final Countdown: Being Prepared for Regulation Best Interest
(01.09.20)
Fifth Circuit Overturns Receiver's Settlement Barring Third-Party Claims Against Stanford Financial Insurers
(06.25.19)
An RIA'S Communications with Attorney Consultants Associated with its Outside Compliance Firm are Always Privileged, RIGHT? Well, That Depends . . .
(06.21.19)
Audit Firm to Pay $50 Million Penalty for Using Information Pilfered From PCAOB
(06.18.19)
Freight Company Charged with Truckload of Accounting Fraud
(04.26.19)
Janus Meets Its Maker: The Supreme Court Expands Primary Liability in Lorenzo v. SEC
(04.08.19)
You WILL (not May) Face the Heat
(03.18.19)
What You Should Know About FINRA's Exam Priorities for 2019
(02.26.19)
Update: The EB-5 Program Has Been Renewed . . . For Now
(02.22.19)
Attorney Responsible for Insider-Trading Compliance Faces Charges of…Insider Trading
(02.18.19)
529 Problems, but FINRA Ain't One
(02.18.19)
Cybersecurity: Don't Become a Different Kind of Victim
(01.16.19)
Will the EB-5 Program Be Renewed, Altered or Abolished?
(12.05.18)
Federal Court Evaluates When Cryptocurrency May Constitute a Security in a Criminal Case
(11.08.18)
SEC Enforces Identity Theft Red Flags Rule for the First Time: What it Means for Texas Businesses
(10.23.18)
Investment Advisers and Fee Disclosures
(10.08.18)
Massachusetts Heats up Fiduciary Rule Discussion with Cold-blooded Enforcement
(10.08.18)