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Ponzi Scheme Enforcement Actions Investment Adviser

Morrison & Foerster LLP

Top 5 SEC Enforcement Developments for March 2025

Each month, we publish a roundup of the most important SEC enforcement developments for busy in-house lawyers and compliance professionals. This month, we examine: •An SEC action alleging an insider trading scheme and...more

Dorsey & Whitney LLP

SEC Brings Actions Against Ponzi Schemer, Client

Dorsey & Whitney LLP on

Ponzi scheme cases have, of course, become a staple of SEC enforcement since the discovery of Madoff’s unprecedented scheme. While there seems to be a virtually endless number of these cases centered on the preverbal “to good...more

Dorsey & Whitney LLP

This Week In Securities Litigation

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The SEC filed one new action this week – an administrative proceeding involving the principal of an investment adviser and undisclosed conflicts of interest. The Commission also amended a complaint in an insider trading...more

K&L Gates LLP

2014 SEC and FINRA Enforcement Actions Against Broker-Dealers and Investment Advisers

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The sheer number of enforcement actions brought against broker-dealers and investment advisers makes it challenging to keep up. In this alert, we divide this year’s most important cases against broker-dealers and investment...more

Dorsey & Whitney LLP

This Week In Securities Litigation

Dorsey & Whitney LLP on

The Commission announced its largest whistleblower action this week – an award to a person overseas of over $30 million. The agency also filed a series of actions this week....more

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