Topic
sec enforcement
256 published works
SEC Actions
SEC Enforcement: 1Q22 (Part III)
This is the concluding segment to a three-part series analyzing the enforcement actions filed during the first quarter of this year. The first segment reviewed and discussed the statistics for…
SEC Actions
SEC Enforcement: 1Q22 (Part I)
I. Introduction This is the first of two articles discussing the cases initiated by the Commission’s Enforcement Division during the first quarter of 2022. While it is always prudent to…
White Collar Law & Investigations
SEC Enforcement in 2022: A Look Ahead
By John Murray
This is the sixth post in this year’s series examining important trends in white collar law and investigations. Our previous post discussed trends in sanctions & export controls enforcement. Up…
Corporate Defense and Disputes
SEC Says Remedy Stops Penalty: HeadSpin Avoids Fine in SEC Fraud Action
On January 28, 2022, the Securities and Exchange Commission filed a complaint in the U.S. District Court for the Northern District of California against HeadSpin, Inc., a Silicon Valley start-up.…
SEC Actions
Cooperation with the SEC – Value?
Cooperation is frequently touted as the “secret sauce” that can help an issuer or individual facing potentially harsh regulatory scrutiny and sanctions for wrongful conduct mitigate the resolution of the…
Securities Compliance Sentinel
Securities Sit-Down: SEC Investigations and Litigation
Did you miss the first installment of our Securities Sit-Down webinar series, which focused on SEC Investigations and Litigation? Well, it isn't too late. You can review a recording of…
Subject to Inquiry
2021 Brought SEC Focus on Crypto Exchanges and Lending Platforms
By Molly M. White, E. Andrew Southerling
This past year, the U.S. Securities and Exchange Commission followed through on its commitment to aggressively enforce securities laws in digital assets markets. As a result, it sharpened its focus…
SEC Actions
SEC Enforcement: 4Q21 (Part II)
This series reviews and analyzes Enforcement Actions brought by the Commission during the forth quarter of 2021. Part I essentially categorized the actions brought by the Division of Enforcement during…
SEC Actions
SEC Enforcement: 4Q21 (Part I)
There is no doubt that 2021 continued to be dominated by the pandemic. The year did offer, however, the promise of mitigation from the inoculations. By year end in fact…
Corporate Defense and Disputes
Post-SPAC Nikola Settles SEC Inquiry, Agrees to Pay $125 Million
Nikola Corporation stormed onto the electric vehicle scene in 2016 offering concepts for zero-emission vehicles. While the SEC does not set emission standards, they have long had standards for omissions…