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Foreign Corrupt Practices Act (FCPA) › Securities Violations › Investment Adviser

Troutman Pepper Locke

SEC 2024 Enforcement Results: A Decline in Total Enforcement, but a Record-Breaking Recovery of Financial Remedies

Troutman Pepper Locke on

On November 22, the Securities and Exchange Commission (SEC) announced its enforcement results for fiscal year (FY) 2024. As compared to FY 2023, the Division of Enforcement (the division) reported a 26% decline in the total...more

Nutter McClennen & Fish LLP

Nutter Securities Enforcement Update: March 1, 2024

Nutter McClennen & Fish LLP on

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

Freiberger Haber LLP

Enforcement News: SEC Charges Investment Advisor With Violating Whistleblower Protection Rule

Freiberger Haber LLP on

We have often written about the SEC’s whistleblower program and, in particular, the success of the program with respect to detecting and preventing violations of the federal securities laws. The success of the program...more

Proskauer - The Capital Commitment

SEC Announces Record Number of Investment Adviser Cases for FY 2016

Proskauer - The Capital Commitment on

The Securities and Exchange Commission today announced its enforcement results for fiscal year 2016, reaching new highs in the number of actions filed and money ordered forfeited through disgorgement and penalties. The SEC...more

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