2022 was a busy year for the SEC’s Enforcement Division. This 2022 Retrospective highlights some of the year’s notable cases, largest settlements, new and noteworthy theories, and court decisions worth remembering....more
1/5/2023
/ Broker-Dealer ,
Cryptocurrency ,
Disgorgement ,
Enforcement Actions ,
Enforcement Priorities ,
Enforcement Statistics ,
Environmental Social & Governance (ESG) ,
Insider Trading ,
Investment Adviser ,
Investment Company Act of 1940 ,
Popular ,
Publicly-Traded Companies ,
Regulation Best Interest ,
Regulation FD ,
Sarbanes-Oxley ,
Securities and Exchange Commission (SEC) ,
Securities Litigation ,
Securities Violations ,
Settlement ,
Unregistered Securities
The Nutter Securities Enforcement Update is a periodic summary of noteworthy recent securities enforcement activity, settlements, decisions, and charges. ...more
10/1/2022
/ 10b5-1 Plans ,
Accounting Standards ,
Audits ,
Civil Monetary Penalty ,
Disgorgement ,
Enforcement Actions ,
Failure To Disclose ,
Foreign Corrupt Practices Act (FCPA) ,
Insider Trading ,
Internal Controls ,
PCAOB ,
Rule 10b-5 ,
Securities ,
Securities Act of 1933 ,
Securities Exchange Act ,
Securities Violations ,
Settlement ,
Statute of Limitations
The Nutter Securities Enforcement Update is a periodic summary of noteworthy recent securities enforcement activity, settlements, decisions, and charges. ...more
9/6/2022
/ Accounting Controls ,
Audits ,
Broker-Dealer ,
Compliance ,
Disgorgement ,
Enforcement Actions ,
Fraud ,
GAAP ,
Initial Coin Offering (ICOs) ,
Initial Public Offering (IPO) ,
Insider Trading ,
Internal Controls ,
Investment Adviser ,
Market Manipulation ,
Material Misstatements ,
Misappropriation ,
Non-Public Information ,
Publicly-Traded Companies ,
Securities and Exchange Commission (SEC)
The Nutter Securities Enforcement Update is a periodic summary of noteworthy recent securities enforcement activity, settlements, decisions, and charges. ...more
8/9/2022
/ Advisors Act ,
Cease and Desist Orders ,
Civil Monetary Penalty ,
Disgorgement ,
Enforcement Actions ,
Illegal Tipping ,
Investment Adviser ,
Rule 10b-5 ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Violations ,
Settlement
In an 8-1 decision, the U.S. Supreme Court upheld the authority of the Securities and Exchange Commission (SEC) to seek disgorgement from defendants in SEC enforcement actions, but placed important limitations upon the...more
6/25/2020
/ 15 U.S.C. § 78u(d)(5) ,
Administrative Authority ,
Business Expenses ,
Calculation of Damages ,
Corporate Misconduct ,
Disgorgement ,
Enforcement Actions ,
Equitable Relief ,
Kokesh v SEC ,
Lack of Authority ,
Liu v Securities and Exchange Commission ,
Net Profits ,
Remedies ,
SCOTUS ,
Securities and Exchange Commission (SEC)