John Grugan

John Grugan

Ballard Spahr LLP

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SEC Charges City Mayor as a Control Person in Allen Park, Michigan, Enforcement Action

Thursday, the Securities and Exchange Commission (SEC) announced fraud charges against the City of Allen Park, Michigan (City), and two of its former officials—the former City Mayor and former City Administrator. It is the...more

11/10/2014 - Economic Development Enforcement Actions Fraud Joint and Several Liability Municipal Bonds Municipalities P3s Public Officials Public-Private Partnerships SEC Securities Exchange Act

SEC Announces First Investment Adviser ‘Pay-to-Play’ Enforcement Action

The U.S. Securities and Exchange Commission (SEC) announced its first enforcement action under "pay-to-play" rules for investment advisers since those rules were adopted nearly four years ago. TL Ventures Inc., a...more

6/25/2014 - Campaign Contributions Enforcement Enforcement Actions Fees Investment Adviser PACs Pay-To-Play Pensions Private Equity SEC

2013 Review: SEC Municipal Market Enforcement Actions

In 2013, the Securities and Exchange Commission sought to demonstrate its resolve in enforcement by bringing more selective cases with a greater yield in financial penalties. Indeed, the SEC recently announced that its 2013...more

1/27/2014 - Compliance EMMA Enforcement Enforcement Actions MSRB SEC

EB-5 Program Faces Heightened Enforcement Scrutiny

Announcements last week by the Securities and Exchange Commission (SEC) and U.S. Citizenship Immigration Services (USCIS) indicate that investments made through the EB-5 Immigrant Investor Program (the EB-5 Program) will be...more

10/14/2013 - EB-5 Enforcement Actions Fraud Green Cards Investors SEC USCIS Visas

SEC Announces Policy Shift on ‘Neither Admit Nor Deny’ Settlements

Earlier this week, the Securities and Exchange Commission (SEC) announced a policy shift concerning settled enforcement actions. The SEC has indicated that certain defendants will have to admit wrongdoing as a condition of...more

6/21/2013 - Deferred Prosecution Agreements Enforcement Actions Neither Admit Nor Deny Settlements Non-Prosecution Agreements SEC Settlement

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