The SEC’s Division of Enforcement intends to remain a “cop on the beat,” and will refocus on traditional core enforcement areas, such as insider trading, accounting and disclosure fraud, market manipulation, and breaches of...more
5/27/2025
/ Cryptocurrency ,
Cybersecurity ,
Emerging Technologies ,
Enforcement Actions ,
Enforcement Priorities ,
Fiduciary Duty ,
Financial Crimes ,
Financial Institutions ,
Foreign Adversaries ,
Fraud ,
Insider Trading ,
Investment ,
Investment Adviser ,
Liability ,
Retail Investors ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Securities Regulation ,
Transparency
On April 1, 2025, the United States Court of Appeals for the First Circuit overturned a $93 million judgment issued against Commonwealth Financial Network (“Commonwealth”) nearly one year ago in a case by the Securities and...more
On October 22, 2024, the Securities and Exchange Commission (“SEC”) filed settled enforcement orders involving four current and former public companies – Unisys Corp., Avaya Holdings Corp., Check Point Software Ltd, and...more
11/1/2024
/ Corporate Governance ,
Cybersecurity ,
Data Breach ,
Disclosure Requirements ,
Enforcement Actions ,
Failure To Disclose ,
Publicly-Traded Companies ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Securities Violations ,
SolarWinds