Topic
sec enforcement
251 published works
SEC Actions
Trends in SEC Enforcement: 2022 – A Cop on Every Corner, Part III (concluding segment)
Part I of this series briefly discussed the overall enforcement results for 2022 and presented a discussion of the four largest groups of cases brought during 2022 – offering fraud…
SEC Actions
Trends in SEC Enforcement: 2022 – A Cop on Every Corner, Part III (opening segment)
Part I of this series briefly discussed the overall enforcement results for 2022 and presented a discussion of the four largest groups of cases brought during 2022 – offering fraud…
SEC Actions
Trends in SEC Enforcement: 2022 – A Cop on Every Corner, Part I
Introduction – an overview of 2022 This article provides a brief overview of 2022 and is the last in a series of analyzing on a quarter basis the enforcement results…
FCPA Professor
“The SEC Penalty Racket”
By Mike Koehler
Russ Ryan spent ten years in the SEC’s Division of Enforcement, including his last three years as Assistant Director of the Enforcement Division. He also spent substantial time in private…
FinReg + Policy Watch
SEC Announces Record-Breaking Penalties and a 9% increase in total number of Enforcement Actions in FY 2022
By Nick Losurdo
Our recent client alert discusses the SEC’s enforcement results for fiscal year 2022. The post SEC Announces Record-Breaking Penalties and a 9% increase in total number of Enforcement Actions in…
California Corporate & Securities Law Blog
SEC Suit Against Covington & Burling Threatens More Than Attorney-Client Privileged Information
Yesterday, I wrote about the Securities and Exchange Commission's attempt to force the prominent law firm of Covington & Burling LLP to "name names". In some discussions about the case,…
SEC Actions
SEC Enforcement 3Q22, A “Cop on Every Corner” Presence in the Market – Conclusion
Part I of this series presented basic statistics for the third quarter of this year – the number of cases filed as well as the largest areas of concentration (here).…
SEC Actions
SEC Enforcement 3Q22 – A “Cop on Every Corner” Presence in the Market, Part III
Part I of this series presented basic statistics for the third quarter of this year – the number of cases as well as the largest areas of concentration (here). Part…
SEC Actions
SEC Enforcement 3Q22 – A “Cop on Every Corner” Presence in the Market – Part I
I. Introduction While the pandemic continues, relegating Washington D.C. to a shadow of what the city once was like, it is not hindering the filing of new cases by the…
The D&O Diary
You Aren’t Just Imaging Things: The Current SEC Really is More Active
If you have had the sense that under the current administration the SEC is more active and more aggressive, two reports issued this past week will confirm that your sense…