On June 27, 2024, the United States Supreme Court issued a much-anticipated decision in Securities and Exchange Commission v. Jarkesy, holding that parties subject to an enforcement action brought by the U.S. Securities and...more
7/12/2024
/ Civil Monetary Penalty ,
Dodd-Frank ,
Enforcement Actions ,
Enforcement Authority ,
Government Agencies ,
Jury Trial ,
SCOTUS ,
SEC v Jarkesy ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Securities Violations ,
Seventh Amendment
The SEC (U.S. Securities and Exchange Commission) recently hosted the 2024 SEC Speaks conference in Washington, DC. During the event, SEC leaders, including the Chair, commissioners, and senior staffers, shared their views...more
4/18/2024
/ Cooperation ,
Disgorgement ,
Electronic Communications ,
Enforcement ,
Enforcement Actions ,
Enforcement Statistics ,
Personal Liability ,
Recordkeeping Requirements ,
Regular Business Communications ,
Securities ,
Securities and Exchange Commission (SEC) ,
Securities Violations ,
Whistleblowers
On September 13, 2022, the U.S. Securities and Exchange Commission (“SEC”) announced a settlement with investment advisory firm Buckman Advisory Group LLC (“Buckman Advisory”) and its CEO Harry Buckman Jr. to settle...more
9/22/2022
/ Bonds ,
Cease and Desist ,
Cherry Picking ,
Elon Musk ,
Enforcement Actions ,
Investment Adviser ,
Misrepresentation ,
MSRB ,
Municipal Bonds ,
Rule 10b-5 ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Violations ,
Settlement ,
Twitter ,
Underwriting ,
Whistleblowers