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SEC Enforcement in Financial Reporting and Disclosure: Year-End 2021 Update

We are pleased to present our year-end update on financial reporting and issuer disclosure enforcement activity. This White Paper primarily focuses on the U.S. Securities and Exchange Commission’s (“SEC”) enforcement activity...more

Fifth Circuit Holds District Court Has Jurisdiction to Hear Constitutional Challenge to SEC Administrative Law Judges

The Fifth Circuit's opinion creates a circuit split that raises the possibility of a Supreme Court review. On December 13, 2021, the Fifth Circuit issued an en banc opinion in Cochran v. U.S. Securities & Exchange...more

SEC Enforcement in Financial Reporting and Disclosure: Summer 2021 Update

We are pleased to present our latest update on financial reporting and issuer disclosure enforcement activity. This White Paper primarily focuses on the U.S. Securities and Exchange Commission’s (“SEC”) enforcement activity...more

SEC Settlement with Company, Ex-CEO Signals Continued Focus on Executive Perks

The recent SEC settlement with Gulfport Energy and its former CEO suggests a hard line approach to executive perks and compensation disclosures, even where expenses relate to business activities. On February 24, 2021, the...more

SEC Enforcement in Financial Reporting and Disclosure: 2020 Year-End Update

The second half of 2020 saw U.S. Securities and Exchange Commission ("SEC") enforcement activity continue to rebound from deep uncertainty and change caused by the COVID-19 pandemic. All told, the SEC—despite a full-scale...more

Compliance Perspectives: Compliance Officer Liability Risk  [Audio]

Few things send shivers down the spines of compliance officers more than reports that one of their own has been found personally liable for wrongdoing at their organization. And while some have tried to increase those fears,...more

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