Isabela Herlihy

Isabela Herlihy

Troutman Pepper Locke

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SEC 2024 Enforcement Results: A Decline in Total Enforcement, but a Record-Breaking Recovery of Financial Remedies

On November 22, the Securities and Exchange Commission (SEC) announced its enforcement results for fiscal year (FY) 2024. As compared to FY 2023, the Division of Enforcement (the division) reported a 26% decline in the total...more

12/6/2024  /  Cryptoassets , Enforcement Actions , Enforcement Statistics , Financial Markets , Foreign Corrupt Practices Act (FCPA) , Investment , Investment Adviser , Securities and Exchange Commission (SEC) , Securities Regulation , Securities Violations

SEC Charges Investment Advisor for Misleading Disclosures About Its Work With Short Publishers

On June 11, the Securities and Exchange Commission (SEC) announced the first settled case in its ongoing review of collaborations between investment advisors and short publishers. The SEC fined affiliated investment advisors...more

6/28/2024  /  Enforcement Actions , Financial Services Industry , Investment Adviser , Securities and Exchange Commission (SEC) , Securities Regulation , Securities Violations
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