Alyse Rivett

Alyse Rivett

Morgan Lewis

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First Circuit Vacates $93 Million Judgment for SEC, Including $65 Million Disgorgement Award

On April 1, the US Circuit Court of Appeals for the First Circuit vacated a $93 million judgment for the SEC against Commonwealth Financial, including a $65 million disgorgement award. The three-judge panel concluded that the...more

4/11/2025  /  Appeals , Broker-Dealer , Disgorgement , Fiduciary Duty , Investment Advisers Act of 1940 , Materiality , Securities and Exchange Commission (SEC) , Securities Fraud , Securities Litigation , Summary Judgment

Securities Enforcement Roundup – March 2025

In this issue of our monthly Securities Enforcement Roundup, we highlight top securities enforcement developments and cases from March 2025. In March 2025: US Securities and Exchange Commission (SEC or the Commission)...more

4/10/2025  /  Appeals , Broker-Dealer , Climate Change , Cryptocurrency , Digital Assets , Enforcement Actions , Investment Adviser , Securities and Exchange Commission (SEC) , Securities Fraud , Securities Regulation
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