SEC: Enforcement

"I urge people who have suggestions about how the Commission can right its course on crypto and innovation more broadly, to send them my way"

Firm was victim of Hollywood scam, gets credit for prompt remediation

Penalties top $5 billion, Grewal seeks 'three e's'

"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 ...