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Enforcement › Failure To Disclose

Nutter McClennen & Fish LLP

Nutter Securities Enforcement Update: April 17, 2024

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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

Perkins Coie

FCC Prioritizes Enforcing Transfer of Control and Foreign Ownership Rules

Perkins Coie on

According to a settlement with the Federal Communications Commission (FCC) announced on October 20, 2022, Truphone Inc. repeatedly transferred control of its FCC licenses to unvetted foreign individuals and entities without...more

Lathrop GPM

FTC Warns Endorsements Could Lead to Civil Penalties

Lathrop GPM on

Yesterday, the Federal Trade Commission issued a press release suggesting that the agency will be cracking down on allegedly deceptive practices in social media and online reviews, scrutinizing in particular reviewers who...more

Katten Muchin Rosenman LLP

Bridging the Week - October 2015 #3

Katten Muchin Rosenman LLP on

Three Individuals Fined and Banned From Trading on CME Group Exchanges for Market Conduct Violations - CME Group business conduct committees permanently banned three traders from trading on CME Group exchanges for market...more

Foley & Lardner LLP

A Compilation of Enforcement and Non-Enforcement Actions

Foley & Lardner LLP on

Non-Enforcement - Form PF — What Purpose? SEC registered investment advisers with at least $150 million of assets under management in private funds are required to periodically file Form PF with the SEC. The...more

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