Enforcement

Defense attorney slams 'unfounded allegations,' vows to fight cases 'vigorously'

More than half of the financial remedies came from cases against Terraform Labs and founder

'One notable recent trend in M&A activity is that the role of private investors, including private equity, has become more pronounced,' antitrust enforcers say

ACP Securities didn't disclose employee's disciplinary history, FINRA claims

A FINRA examination of Morgan Stanley’s compliance with the market access rule has triggered an enforcement action tied to the firm’s failure to conduct reasonable ...

"After all, compliance has costs. There are the actual resources needed to implement effective compliance functions"

Since December 2021, regulators have brought books-and-records cases against more than 100 firms, netting more than $2 billion in fines, SEC's Sanjay Wadhwa says

'When issues are identified, we fix them and engage with our regulators to resolve any concerns,' firm spokesman says

A spate of SEC enforcement actions against private fund managers closed out fiscal 2024

'There are so many issues on top of what you’d normally have in a typical private equity fee-and-expense analysis when you’re dealing with just straight-up ...