Elizabeth Skey

Cooley LLP

+ Follow Contact

Latest Posts › Enforcement Actions

Share:

SEC Announces FY23 Enforcement Results –Record-Breaking Whistleblower Awards, Focus on Individual Accountability, Self-Reporting,...

The Securities and Exchange Commission (SEC) recently announced its enforcement results for fiscal year 2023, which reported a total of 784 enforcement actions, up 3% from FY22. This includes 501 original (stand-alone)...more

11/30/2023 / Corporate Counsel , Enforcement Actions , Securities and Exchange Commission (SEC) , Securities Violations , Whistleblower Awards , Whistleblower Protection Policies , Whistleblowers

SEC Focuses on Whistleblower Protections in Employee Separation Agreements

Recent Securities and Exchange Commission enforcement actions have zeroed in on whistleblower protections in employee separation agreements, signaling that now may be the time for companies to closely review employee...more

10/6/2023 / Enforcement Actions , Securities and Exchange Commission (SEC) , Separation Agreement , Whistleblower Protection Policies , Whistleblowers

Blog: SEC Charges Alternative Data Provider With Misrepresenting Data Sources

What happened - Last week the SEC brought securities fraud charges against App Annie and its co-founder and former CEO and Chairman Bertrand Schmitt for engaging in deceptive practices and making material...more

9/23/2021 / Enforcement Actions , Insider Trading , Securities and Exchange Commission (SEC) , Securities Fraud

Alert: SEC Brings Rare Charges in Alleged Regulation Fair Disclosure Violation

What happened The SEC recently brought charges against AT&T and three mid-level executives for selectively providing information to Wall Street analysts in alleged violation of Regulation Fair Disclosure (Reg FD). According...more

3/15/2021 / AT&T , Disclosure Requirements , Enforcement Actions , Regulation FD , Securities and Exchange Commission (SEC)

4 Results

View per page

Page: of 1