The Securities and Exchange Commission (“SEC”) released an annual summary, on November 15, 2022, of actions brought by the Division of Enforcement (“Division”) over fiscal year 2022 (“Enforcement Summary”), providing an...more
12/13/2022
/ Civil Monetary Penalty ,
Climate Change ,
Cryptoassets ,
Cybersecurity ,
Disclosure Requirements ,
Disgorgement ,
Enforcement ,
Environmental Social & Governance (ESG) ,
Fraud ,
Penalties ,
Private Funds ,
Sarbanes-Oxley ,
Securities and Exchange Commission (SEC) ,
Special Purpose Acquisition Companies (SPACs) ,
Whistleblowers
The Enforcement Division of the Securities and Exchange Commission (Division) released its Annual Report on November 2, 2020, providing information concerning its activities over the past fiscal year and outlining key...more
11/23/2020
/ American Depository Receipts (ADRs) ,
Annual Reports ,
Coronavirus/COVID-19 ,
Disgorgement ,
Enforcement Actions ,
Enforcement Statistics ,
Infectious Diseases ,
Kokesh v SEC ,
Liu v Securities and Exchange Commission ,
Securities and Exchange Commission (SEC) ,
Securities Violations ,
Steering Committees ,
Trading Suspension ,
Whistleblowers
The CFTC’s Division of Enforcement (Division) released its Annual Report on November 25, 2019, summarizing the Division’s activities over the past year.1 In FY 2019, the CFTC filed 69 enforcement actions, down from 83 in FY...more
12/16/2019
/ Annual Reports ,
Bitcoin ,
CFTC ,
CFTC Enforcement Manual ,
Civil Monetary Penalty ,
Commodities ,
Cryptocurrency ,
Customer Protection Rule ,
Department of Justice (DOJ) ,
Derivatives ,
Disgorgement ,
Dodd-Frank ,
Enforcement Actions ,
Enforcement Statistics ,
False Reporting ,
Fraud ,
Individual Accountability ,
Integrity Policies ,
Investor Protection ,
Market Manipulation ,
Risk Management ,
Self-Reporting ,
Spoofing ,
Swaps ,
Whistleblowers
The Enforcement Division (Division) of the Securities and Exchange Commission released its Annual Report on November 6, 2019, summarizing the year’s enforcement activity. It was a record-setting year for the Division due to...more
12/3/2019
/ Annual Reports ,
Appointments Clause ,
Asset Management ,
Civil Monetary Penalty ,
Conflicts of Interest ,
Corporate Executives ,
Cybersecurity ,
Disgorgement ,
Enforcement Actions ,
Financial Institutions ,
Initial Coin Offering (ICOs) ,
Investment Adviser ,
Investment Companies ,
Investor Protection ,
Kokesh v SEC ,
Lucia v SEC ,
Publicly-Traded Companies ,
Restitution ,
SCOTUS ,
Securities and Exchange Commission (SEC) ,
Self-Reporting ,
Share Class Selection Disclosure Initiative (SCSD) ,
Statute of Limitations ,
Suspensions & Debarments ,
Whistleblowers
Stephanie Avakian and Steven Peikin, the new Co-Directors of the U.S. SEC Enforcement Division (“Division”), released a report on November 15, 2017, summarizing the Division’s enforcement activity for the fiscal year ending...more
11/29/2017
/ Anti-Retaliation Provisions ,
Asset Freeze ,
Cybersecurity ,
Disgorgement ,
Dodd-Frank ,
Enforcement Actions ,
Excessive Fees ,
Fraud ,
Investor Protection ,
Investors ,
Penalties ,
Ponzi Scheme ,
Pump and Dump ,
Retail Market ,
Sanctions ,
Securities and Exchange Commission (SEC) ,
Whistleblowers
The U.S. Securities and Exchange Commission (SEC or Commission) issued a cease and desist order on June 16, 2014 (the Order) against Paradigm Capital Management, Inc. (Paradigm) and its founder, Director, President and Chief...more
The Supreme Court of the United States on March 4, 2014 held that employees of a privately-held mutual fund investment adviser are protected under a whistleblower provision enacted as part of the Sarbanes-Oxley Act of 2002...more