News & Analysis as of

Remedial Actions Settlement Cease and Desist Orders

Akin Gump Strauss Hauer & Feld LLP

“Under the Wire” E-Comms Settlements: More Confusion Than Closure

On January 13, 2025, the U.S. Securities and Exchange Commission announced settled enforcement actions with five registered investment advisers for failing to maintain and preserve internal electronic communications. These...more

Dorsey & Whitney LLP

SEC-JPMorgan Securities Settle False Advertising Action

Dorsey & Whitney LLP on

The holiday season may be a time of good cheer. Wall Street banks may not agree, however, at least for this year. As the season began to unfold JPMorgan settled a Commission action centered on conflicts by admitting the facts...more

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