Summer is heading for its traditional close at Labor Day as many have either returned to school or are finalizing their plans. The Commission, however, remained busy at work publishing new rules for private funds and a series of cases
Thomas O. Gorman
Tom has defended public companies and individuals in regulatory actions involving insider trading, market manipulation, financial fraud, corporate governance matters, accounting and auditing issues, FCPA issues, and similar matters. He has also defended securities class action and derivative suits and led teams conducting internal investigations focused on financial fraud and other securities law issues. He regularly speaks on, and publishes articles regarding, securities litigation issues including the FCPA, internal investigations, financial fraud and insider trading. He has been interviewed on these issues by the New York Times, Wall Street Journal, Washington Post, Financial Times, and other leading publications in addition to appearing on CNBC, CNN, and other TV networks. Tom publishes a widely-read securities blog, www.secactions.com, which analyzes trends in securities enforcement inquiries and litigation, and provides expert commentary for the LEXIS Securities web page. He serves as a member of the editorial board of the Securities Regulation Law Journal.
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Trends In SEC Enforcement 1Q23, Conclusion
Background: This is the concluding segment of a four-part series on trends in SEC enforcement during the first quarter of 2023. The first part of the series was published on Tuesday August 22, 2023 (here). It provided an overview of…
Trends in SEC Enforcement: 1Q23, Part III
This is the third segment of a four part series on trends in SEC enforcement during the first quarter of 2023. The first part of the series was published on Tuesday August 22, 2023 (here). It provided an overview of…
This Week In Securities Litigation (Week of August 21, 2023)
The pace of filing new enforcement cases slowed to a drizzle last week. Only two new actions were filed. Perhaps it was the approach the end of summer/back-to-school period or the hurricane moving into LA at the same time the…
Trends in SEC Enforcement: 1Q23, Part II
This is the second part of a series focused on the cases filed by the SEC during the first quarter of 2023. The first segment was published on Tuesday, August 22, 2023. It analyzed the basic statistics for the quarter…
div>Trends in SEC Enforcement: 1Q23, Part I
This is the first of a series of articles examining the actions cases by the SEC during the first quarter of 2023. Subsequent segments in the series will provide examples of cases from the largest four groups of actions filed…
This Week In Securities Litigation (Week of August 14, 2023)
The Commission filed a series of new cases largely, but not exclusively, in its traditional areas. They included, offering frauds, books and records and a breach of duty claims. An FCPA case was also filed along with an unregistered broker/trading…
SEC Settles with 11 Firms Based on Admissions and Penalties
One of the hallmarks of Enforcement in recent months has been the reach of the program. While the agency continues to bring cases in traditional areas such as offering frauds and insider trading, in recent periods it has also focused…
SEC Settles with SPAC and Two Officers
< SPACs have for some time been one of the most talked about investment vehicles. Their popularity soared quickly in part because of the apparent simplicity of the behicles. At the same times there are many questions about the sufficiency…
This Week In Securities Litigation (Week of August 7, 2023)
As the summer moves forward with blazing days in some parts of the country, the Commission filed a series of cases. Those actions centered on crypto assets, offering frauds, net capital violations, insider trading, prohibited transactions and acting as an…