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SEC Speaks 2022: Ongoing Efforts to Restore Public Trust, Aggressive Enforcement Agenda

By E. Andrew Southerling & Louis D. Greenstein on September 28, 2022
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Securities and Exchange Commission officials highlighted a commitment to restoring trust in the agency and aggressive enforcement during the recent SEC Speaks conference.

See our alert for analysis of their comments and stated enforcement priorities, which addressed crypto markets, aggressive use of remedies, creditworthy cooperation, the Wells process, aggressive litigation, disgorgement efforts, municipal securities, gatekeeper responsibilities, and protection of whistleblowers.

Photo of E. Andrew Southerling E. Andrew Southerling

Andrew has more than two decades of experience in securities regulation and enforcement and has successfully represented corporations, financial institutions and individuals in a wide range of high-stakes and novel civil and criminal investigations and enforcement actions. He is a former co-chair of…

Andrew has more than two decades of experience in securities regulation and enforcement and has successfully represented corporations, financial institutions and individuals in a wide range of high-stakes and novel civil and criminal investigations and enforcement actions. He is a former co-chair of the firm’s Securities Enforcement & Regulatory Counseling practice group. Drawing on his experience in government service and private practice, clients look to Andrew for counsel on securities enforcement matters, securities litigation and regulatory compliance counseling. He represents corporate and individual clients in U.S. Securities and Exchange Commission (SEC), U.S. Department of Justice (DOJ), Financial Industry Regulatory Authority (FINRA), state attorneys general, and Congressional investigations and enforcement proceedings. Andrew also conducts internal investigations on behalf of corporate management and boards of directors and advises clients on developing and implementing effective compliance programs. Prior to entering private practice, Andrew served a six-year tenure at the SEC in the Division of Enforcement.

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Photo of Louis D. Greenstein Louis D. Greenstein

Louis a member of the firm’s Financial Services & Securities Enforcement Department. For more than 20 years, Louis has represented financial services firms, corporations, their boards, officers, directors and employees in investigations by the Securities and Exchange Commission (SEC), the Financial Industry Regulatory…

Louis a member of the firm’s Financial Services & Securities Enforcement Department. For more than 20 years, Louis has represented financial services firms, corporations, their boards, officers, directors and employees in investigations by the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority, the United States Department of Justice (DOJ), and state regulatory agencies. Louis also has substantial experience conducting internal investigations and counseling clients on corporate governance and disclosure issues, including strategies for avoiding potential regulatory issues through preventive remedial measures.

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  • Posted in:
    Banking, Finance and Securities
  • Blog:
    Subject to Inquiry
  • Organization:
    McGuireWoods LLP
  • Article: View Original Source

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