Adam Pollet

Eversheds Sutherland (US) LLP

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Latest Posts › Disgorgement

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First-of-its-kind enforcement action sparks debate whether NFTs are securities

On August 28, 2023, the Securities and Exchange Commission (SEC) announced a settled enforcement action against Impact Theory LLC (Impact Theory) for the unregistered sale of non-fungible tokens (NFTs) that the SEC determined...more

8/31/2023 / Civil Monetary Penalty , Cryptoassets , Disgorgement , Enforcement Actions , Non-Fungible Tokens (NFTs) , Securities , Securities and Exchange Commission (SEC)

FINRA’s Disciplinary Actions in 2017 (and beyond): Increased restitution ordered with minimal changes in number of cases; variable...

In 2017, the Financial Industry Regulatory Authority (FINRA) ordered more than two times the restitution from the prior year, resulting in the fourth highest total of sanctions (fines combined with restitution and...more

5/7/2018 / Corporate Fines , Disgorgement , Enforcement Actions , Financial Industry Regulatory Authority (FINRA) , Restitution , Strategic Enforcement Plan , Variable Annuities

US Supreme Court Intimates That the SEC’s Use of Disgorgement May Be Subject to Five-Year Statute of Limitations

On April 18, 2017, the US Supreme Court heard oral arguments in Kokesh v. Securities and Exchange Commission regarding whether disgorgement ordered by the US Securities and Exchange Commission (SEC) is subject to the...more

4/21/2017 / Disgorgement , Equitable Relief , Insider Trading , Kokesh v SEC , Misappropriation , SCOTUS , Securities and Exchange Commission (SEC) , Statute of Limitations

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