News & Analysis as of September 21, 2024

Cease and Desist Orders

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The Securities Exchance Act is a United States federal statute enacted in 1934 to govern the secondary securities trading market. In addition, the Securities Exchange Act established the Securities and Exchange... more +

The Justice Insiders Podcast: Meet the Securities and Exchange (and Human Resources) Commission

Watts What You Say? SEC Brings a Battery of Charges Against EV Startup Company

Holland & Knight LLP on 3/13/2024

The SEC on Feb. 29, 2024, announced settled charges against Lordstown Motors Corp. (Lordstown) for allegedly misleading investors about sales prospects for the Endurance, Lordstown's flagship pickup truck for the electric...more

Nutter Securities Enforcement Update: August 1, 2022

Nutter McClennen & Fish LLP on 8/9/2022

The Nutter Securities Enforcement Update is a periodic summary of noteworthy recent securities enforcement activity, settlements, decisions, and charges. ...more

PwC Charged with Violating Auditor Independence Rules and Improper Professional Conduct

White & Case LLP on 9/26/2019

On September 23, 2019, the Securities and Exchange Commission (“SEC”) charged accounting firm PricewaterhouseCoopers LLP (“PwC”) with improper professional conduct and violating auditor independence rules. The SEC also...more

The SEC Expands Its Enforcement Efforts to Include Cryptocurrency Exchanges

White and Williams LLP on 12/11/2018

In an enforcement action filed on November 8, 2018, the Securities and Exchange Commission (SEC) ordered that 31-year-old Zachary Coburn, founder of the EtherDelta cryptocurrency exchange, cease and desist from operating the...more

SEC Files Another Insider Trading Administrative Proceeding

Dorsey & Whitney LLP on 3/17/2016

The SEC filed another settled insider trading action as an administrative proceeding. The Commission has increasingly been filing insider trading cases in an administrative forum this year. In the Matter of Eric J. Wolff,...more

This Week In Securities Litigation

Dorsey & Whitney LLP on 10/16/2015

The SEC prevailed on two summary judgment motions. One centered on a manipulation action. The other was against an attorney who facilitated a prime bank fraud. The Commission also filed: An action against UBS tied to its...more

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