Topic
Enforcement
987 published works
Nonprofit Law Prof Blog
NAAG/NASCO Charities Conference Public Day Agenda
The National Association of Attorneys General (NAAG) and the National Association of State Charity Officials (NASCO) will hold their annual conference in Baltimore and online next week. Here are the…
The Securities Law Blog
SEC Announces Departure of Enforcement Director Gurbir S. Grewal
The Securities and Exchange Commission today announced that Gurbir S. Grewal, Director of the Division of Enforcement, will depart the agency, effective Oct. 11, 2024. Upon Mr. Grewal’s departure, Sanjay…
SEC Actions
This Week In Securities Litigation (Week of September 16, 2026)
Last week the Commission filed eight new enforcement actions. Three focused on offering frauds while the five other cases concerned advisory fees, insider trading, false statements, financial fraud and improper…
Compliance Building
Another $49 Million in Fines for Texting
The Securities and Exchange Commission continues its relentless assault on firms that have allowed employees to use text messages, WhatsApp, private email, or other “off-channel communications.” Last week, six rating agencies…
FCPA Professor
Is It Too Much To Ask For The DOJ To Keep Its FCPA Website Up To Date?
By Mike Koehler
The DOJ has a specific website devoted to the Foreign Corrupt Practices Act. On the site you will find a purported chronological list and alphabetical list of Enforcement Actions. With any…
SEC Actions
This Week In Securities Litigation (Week of August 19, 2024)
The Commission filed five new enforcement actions last week. Those cases were based on crypto pyramid schemes (two cases), false statements, an offering fraud and a stock manipulation. Be careful,…
Subject to Inquiry
Key Takeaways From McGuireWoods’ Webinar on Enforcement Against PE Funds in Healthcare
By Brett Barnett, Mindy Sauter, Michael Elliott, Michael J. Podberesky
McGuireWoods partners Brett Barnett, Mindy Sauter, Mike Elliott, and Michael Podberesky recently conducted a solution-oriented discussion of key enforcement and compliance developments that impact private equity (PE) funds in healthcare.…
The FCA Insider
Key Takeaways From McGuireWoods’ Webinar on Enforcement Against PE Funds in Healthcare
By Brett Barnett, Mindy Sauter, Michael Elliott, Michael J. Podberesky
On July 9, 2024, McGuireWoods partners Brett Barnett, Mindy Sauter, Mike Elliott, and Michael Podberesky conducted a solution-oriented discussion of key enforcement and compliance developments that impact private equity (“PE”)…
Financial Services Observer
Reg BI Enforcement Intensifies: SEC Fines Western International Securities for Violating Care and Compliance Obligations
By Tracy S. Combs, Steven M. Malina, William Mack, Benjamin Cohen
On July 30, 2024, the SEC announced it had reached a settlement agreement with Western, a dually registered investment adviser and broker-dealer providing investment advice and brokerage services to retail…
White Collar Briefly
FERC Enforcement Authority After SCOTUS Jarkesy Decision
By Rachel Mechanic, Jane Rueger, Margaret Meyers, Jacob Neeley
On June 27, 2024, in SEC v. Jarkesy, the Supreme Court of the United States held that the Seventh Amendment entitles a respondent to a Securities and Exchange Commission securities…