John Sikora Jr.

John Sikora Jr.

Latham & Watkins LLP

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Private Equity Fund Managers: Takeaways From The SEC’s Past Year in Enforcement

After a year of “first ever” actions targeting private equity, fund managers should be vigilant, even about seemingly small issues. In reviewing the results of SEC Enforcement’s fiscal year that ended on September 30,...more

12/9/2014 - Broken Windows Enforcement Actions Fund Managers Private Equity Funds SEC Strategic Enforcement Plan

SEC Increases Focus on Accounting and Financial Fraud at Public Companies

“I would describe the time period we are living through as an era of creative and aggressive enforcement by the US Securities and Exchange Commission (SEC),” said Latham & Watkins partner John Sikora. “The SEC has set a...more

9/12/2014 - Accounting Fraud Enforcement Enforcement Actions Fraud SEC Securities Fraud

Investment Adviser Charged For Demoting Whistleblower in SEC’s First Anti-Retaliation Case

Investment adviser and its owner settle SEC enforcement action for nearly US$2.2 million. On June 16, 2014, the US Securities and Exchange Commission issued a cease and desist order and assessed a US$300,000 civil...more

6/20/2014 - Anti-Retaliation Provisions Enforcement Actions Popular Retaliation SEC Whistleblowers

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