The Nutter Securities Enforcement Update is a periodic update of noteworthy recent securities enforcement activity, settlements, decisions, and charges. We provide brief summaries that highlight recent enforcement action...more
4/18/2024
/ CFOs ,
Civil Monetary Penalty ,
Cooperation ,
Electronic Communications ,
Enforcement ,
Enforcement Actions ,
Investment Adviser ,
Registered Investment Advisors ,
Regular Business Communications ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Violations ,
Settlement
The Nutter Securities Enforcement Update is a periodic update of noteworthy recent securities enforcement activity, settlements, decisions, and charges. We provide brief summaries that highlight recent enforcement action...more
4/5/2024
/ Aiding and Abetting ,
Audits ,
Block Trades ,
Broker-Dealer ,
Civil Monetary Penalty ,
Compliance ,
Criminal Liability ,
Enforcement Actions ,
ETFs ,
Failure To Disclose ,
Fiduciary Rule ,
Foreign Corrupt Practices Act (FCPA) ,
Forfeiture ,
Fraud ,
Influencers ,
Insider Trading ,
Institutional Shareholder Services (ISS) ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Market Manipulation ,
Material Nonpublic Information ,
Misleading Statements ,
Misrepresentation ,
Morgan Stanley ,
Offerings ,
PCAOB ,
Proxy Advisory Firms ,
Publicly-Traded Companies ,
Regulation M ,
Restitution ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Litigation ,
Securities Violations ,
Settlement ,
Special Purpose Acquisition Companies (SPACs) ,
Whistleblower Protection Policies
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
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