In this issue of our monthly Securities Enforcement Roundup, we highlight top securities enforcement developments and cases from May 2025. In May 2025: More ongoing developments in the crypto enforcement area at the US...more
In this issue of our monthly Securities Enforcement Roundup, we highlight top securities enforcement developments and cases from April 2025. In April 2025: Crypto Enforcement Activity and Developments...more
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
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
In this issue of our monthly Securities Enforcement Roundup, we highlight top securities enforcement developments and cases from last month.
In July 2024: A district court dismissed several of the SEC’s claims against...more
The US Securities and Exchange Commission (SEC) and Department of Justice (DOJ) on June 29, 2023 brought insider trading charges against several defendants in four proceedings. The insider trading cases demonstrate key focus...more