Sean Fulton

DLA Piper

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Latest Posts › Securities and Exchange Commission (SEC)

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SEC Emphasizes Focus on “AI Washing” Despite Perceived Enforcement Slowdown

The US Securities and Exchange Commission (SEC) recently highlighted its continued focus on artificial-intelligence-related misconduct as a key enforcement priority. Speaking on a series of panels at the Securities...more

5/23/2025 / Artificial Intelligence , Broker-Dealer , Corporate Governance , Disclosure Requirements , Enforcement Actions , Fraud , Investment Adviser , Securities and Exchange Commission (SEC) , Securities Fraud , Securities Regulation

DOJ and SEC Send Warning on “AI Washing” with Charges Against Technology Startup Founder

The US Department of Justice (DOJ) announced a criminal indictment and the Securities and Exchange Commission (SEC) announced a civil complaint against the founder and former CEO of an e-commerce technology startup. DOJ and...more

4/17/2025 / Artificial Intelligence , Criminal Prosecution , Department of Justice (DOJ) , Enforcement Actions , Investors , Misleading Statements , Securities and Exchange Commission (SEC) , Securities Fraud , Securities Regulation , Venture Capital

SEC Roundtable Presents Both Risks and Opportunities of AI in the Financial Industry

The Securities and Exchange Commission (SEC) recently hosted a Roundtable on Artificial Intelligence in the Financial Industry in Washington, DC (SEC AI Roundtable). The day-long event, which took place on March 27, 2025,...more

4/4/2025 / Algorithms , Artificial Intelligence , Cyber Attacks , Financial Services Industry , Fraud Prevention , Market Manipulation , Regulatory Requirements , Risk Management , Securities and Exchange Commission (SEC) , Securities Regulation

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