SEC: Enforcement

"There’s also those cases that will garner the attention of lawyers, compliance officers, and the like, far beyond this room—and yes, often get reported by ...

In connection with BlackRock’s investigation of potential misconduct by Aviron’s CEO, BlackRock identified its reporting errors

"There are really three situations where the Commission typically brings enforcement actions against compliance personnel"

Case comes less than a month after SEC doubles down on accelerated monitoring fees

Greek myth meets regulatory reality in the case of an RIA that, like Icarus, aimed too high and fell back to Earth

The SEC has finally admitted that it won’t restart a 7-year-long enforcement action that went all the way to the U.S. Supreme Court

The defendant engaged in a fraudulent “cherry-picking” scheme by disproportionately allocating profitable first-day trades from an average price account to the account of a private ...

The Commission is aware of one former employee who was initially discouraged from communicating with Commission staff about potential violations of securities laws due to ...

Using their personal devices, these employees communicated both internally and externally by personal text messages, or other text messaging platforms such as WhatsApp and GroupMe ...

Maxim failed to file SARs for numerous transactions that it should have had reason to suspect involved possible fraudulent activity or had no business or ...