10 For 10: Top Compliance Stories For the Week Ending March 15, 2025
Episode 286 -- Matt Stankiewicz on the Ripple Decision and Celsius CEO Indictment
Blue Sky Laws: Defending State-Level Securities Violations
The Justice Insiders: The Administrative State is Not Your Friend - A Conversation with Professor Richard Epstein
Four Decision Points in SEC Securities Investigations
Crypto Enforcement Is Here, and Always Has Been
Cryptocurrency: The Regulator’s Perspective
Investment Management Roundtable Discussion – Regulatory and Enforcement Update
On January 9, 2026, the Supreme Court granted certiorari in Sripetch v. SEC to resolve whether the Securities and Exchange Commission (SEC) may seek disgorgement—an equitable remedy requiring wrongdoers to return “ill-gotten...more
In this issue of our monthly Securities Enforcement Roundup, we highlight top securities enforcement developments from January 2026. ...more
A former financial advisor was suspended for eight months and fined $5,000 after he allegedly violated FINRA Rule 2010. FINRA Rule 2010 provides that “a member, in the conduct of its business, shall observe high standards of...more
Shifts in SEC enforcement are typical with new presidential administrations, particularly with a change in the political party. But never have those shifts been as dramatic as those we witnessed in fiscal year 2025. Through...more
The UK FCA has fined a capital markets adviser to an energy company £100,281 – and banned him from working in financial services – for insider dealing. The action illustrates the comparatively low threshold for what may...more
On December 12, 2025, Judge Sherilyn Peace Garnett of the United States District Court for the Central District of California granted in part and denied in part a motion to dismiss a proposed investor class action against a...more
On December 18, 2025, Judge Sherilyn Peace Garnett of the United States District Court for the Central District of California dismissed a putative securities class action against a multinational “fast-casual” restaurant chain...more
The U.S. Supreme Court on January 9, 2025, granted certiorari in Ongkaruck Sripetch v. U.S. Securities and Exchange Commission, a case from the U.S. Court of Appeals for the Ninth Circuit that tees up a circuit split on the...more
Financial reporting and disclosure enforcement is a perennial priority for the U.S. Securities and Exchange Commission (“SEC”), but the change in presidential administrations in January 2025 ushered in a potentially new...more
In the 1946 film “It’s a Wonderful Life,” George Bailey is despondent after a series of mishaps — including his family member and colleague, Uncle Billy, misplacing $8,000 that Uncle Billy had intended to deposit in Mr....more
To plead securities fraud, a plaintiff must allege that the defendant made a false statement or omitted a material fact, did so with scienter, and that the plaintiff relied on that misrepresentation and suffered injury....more
Since 2016, Cornerstone Research and the NYU Pollack Center for Law & Business have collaborated on the Securities Enforcement Empirical Database (SEED) to publish annual publications analyzing trends in SEC enforcement...more
On October 21, the Financial Industry Regulatory Authority (FINRA) filed a settled enforcement action involving allegedly improper gifts and entertainment in connection with sales of mutual fund shares. The $10 million fine...more
93% of FY 2025 actions were filed before the SEC administration change. The U.S. Securities and Exchange Commission (SEC) brought 30% fewer enforcement actions against public companies and subsidiaries in FY 2025 than in FY...more
About half of securities class actions are thrown out by the courts at the motion to dismiss stage, thus avoiding costly discovery and a potential settlement....more
On September 17, 2025, the US Securities and Exchange Commission (SEC) issued a policy statement with potentially far-reaching consequences for corporate governance, securities litigation, and directors and officers (D&O)...more
On September 26, Securities and Exchange Commission (SEC) Chair Paul S. Atkins announced a return to the SEC’s prior practice of allowing individuals and entities facing enforcement actions to request that the SEC...more
Participants will hear our panelists discuss the current federal government enforcement landscape in key areas including antitrust, environmental, energy and securities enforcement. Our panel will address current trends and...more
Securities and Exchange Commission (SEC) Chair Paul Atkins recently received a lot of press after he said in an interview with the Financial Times that the SEC’s Enforcement Division would be less aggressive than under the...more
In this issue of our monthly Securities Enforcement Roundup, we highlight top securities enforcement developments from August 2025. ...more
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 the following matters: • An SEC complaint alleging a Georgia...more
On June 30, 2025, the SEC announced it had obtained final judgments in federal district court in a lawsuit brought against two affiliated investment advisers and their two portfolio managers for breaches of fiduciary duty and...more
On July 11, 2025, the SEC announced the filing of a joint stipulation in the U.S. District Court for the Northern District of New York, agreeing to dismiss, with prejudice, its first-ever enforcement action under Rule 22e-4...more
Cornerstone Research and the Stanford Law School Securities Class Action Clearinghouse highlight several developments from recent litigation in their latest report, Securities Class Action Filings—2025 Midyear Assessment....more
In this jaw-dropping episode of Wicked Coin, hosts Diana Shaw and Tatiana Sainati are joined by their Wiley colleague Rob Walker – former Chief Counsel to both the House and Senate Ethics Committees – for an unflinching look...more