About
Robin M. Bergen’s practice focuses on government and internal investigations, and regulatory enforcement and examination of broker-dealers and investment advisers.
Two Recent Settlements Highlight Heightened SEC Focus on Accounting Fraud and Potential Benefits of Cooperation
Turning the Page: Highlights of the SEC’s Division of Examination’s 2021 Priorities
Priorities, Trends and Developments in Enforcement and Compliance
SEC Adopts New Marketing Rule for Investment Advisers
SEC Brings Enforcement Action Against Global Brokerage Company, Finding False and Misleading Statements In Connection With Non-GAAP Financial Measures
From Government Shutdown to COVID-19: SEC Enforcement Division Releases Final Chapter of Jay Clayton-led SEC
Despite Disagreements, SEC Commissioners Emphasize Need for Clear Disclosure by ESG Funds
Despite Disagreements, SEC Commissioners Emphasize Need for Clear Disclosure by ESG Funds
CFTC Division of Enforcement Releases Guidance on Evaluating Compliance Programs
About
Robin M. Bergen’s practice focuses on government and internal investigations, and regulatory enforcement and examination of broker-dealers and investment advisers.
Blogs
Firm/Org