Securities and Exchange Commission (SEC), Dodd-Frank, Unfair or Deceptive Trade Practices

CFTC’s High-Profile Crypto Cases Lead to Massive Recoveries but Far Fewer Enforcement Actions

Paul Hastings LLP on 12/18/2024

The CFTC Division of Enforcement recently released its 2024 results, trumpeting its focus on large crypto matters that generated big headlines and even bigger recoveries, but resulted in a significant decline in total...more

CFPB, FTC And 50 States Show Power In Numbers With Operation Corrupt Collector

Goodwin on 10/2/2020

In the News. The Consumer Financial Protection Bureau (CFPB), along with the Federal Trade Commission (FTC) and more than 50 federal and state law enforcement partners, announced Operation Corrupt Collector, a nationwide law...more

Legal Alert: DOJ and CFTC team up on spoofing enforcement

Eversheds Sutherland (US) LLP on 9/27/2019

On September 16, 2019, the US Department of Justice (DOJ) indicted three precious metals traders for allegedly violating six criminal statutes, including the Racketeer Influenced and Corrupt Organizations Act...more

Emerging Trends Newsletter - Q4

Stinson LLP on 1/25/2017

The Volcker Rule Under the Trump Administration - The so-called Volcker Rule—named after Paul Volcker, a former chairman of the Federal Reserve Board—was part of the Dodd-Frank Wall Street Reform and Consumer Protection...more

Municipal Advisor, School Consultant, and Associated Individuals Enter Settlement Offers with SEC after First-of-Its-Kind...

Bracewell LLP on 7/22/2016

On June 13, 2016, the Securities and Exchange Commission (SEC) accepted the settlement offers made by two firms and three executives charged with using deceptive business practices in dealing with five school districts. As...more

SEC Brings First Action under Dodd-Frank Municipal Advisor Antifraud Rules

Stinson - Corporate & Securities Law Blog on 6/14/2016

Two California-based municipal advisory firms and their executives have agreed to settle SEC charges that they used deceptive practices when soliciting the business of five California school districts....more

We’ve Only Just Begun - Lessons From the CFPB’s First 35 Enforcement Cases

K&L Gates LLP on 3/7/2014

Few agencies have generated as much controversy as the Consumer Financial Protection Bureau. The brainchild of Senator Elizabeth Warren when she was still a professor and the product of the Dodd-Frank Wall Street Reform and...more

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