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This is the final segment of a four-part series focused on trends in SEC enforcement during the first quarter of 2024. During that period the Commission filed 52 new enforcement actions. Less tha...
BLOG POSTS Trends in SEC Enforcement: 1Q 24 Part III This third part of the series focused enforcement actions filed during the first quarter of 2024 focuses on significant cases filed during the...
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The Supreme Court handed down two decisions which will have a significant impact in the months and years to come. In Loper Bright the Court ended Chevron deference, a doctrine that has had a sign...
This is the second installment of a four part series on trends in SEC enforcement reflected in the actions filed during the first quarter of 2024. Part I of this series discussed the number of ca...
The Securities and Exchange Commission suffered a significant loss in the Supreme Court today. The High Court held that those charged with fraud by the agency have a right to a jury trial under t...
This is one of a series that analyzing trends in SEC enforcement on a quarterly basis. The series traces back to the beginning of 2020, identifying the types and numbers of cases filed to discern...
As summer kicked off, the Commission filed four new actions and resolved others. The new cases centered on a fraudulent scheme, an offering fraud, misappropriation and a financial fraud case. Be ...
Investment advisers owe their clients a fiduciary duty, one of the highest obligations under the law. The obligation fits well with the duties and responsibilities of the typical ...
Offering fraud actions typically center on the proposed sale of securities tied to a fraud. The type of fraud varies from cases to case. Typically, however, there is an issuer and there are secur...
Last week the Commission filed five new cases: Three were offering fraud actions; one centered on a boiler room; and the final case involved insider trading. Be careful, be safe this week. SEC De...