Harper Burke

Morgan Lewis

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Latest Posts › Enforcement Actions

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Securities Enforcement Roundup – May 2025

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

6/12/2025 / Cryptocurrency , Digital Assets , Enforcement Actions , Financial Industry Regulatory Authority (FINRA) , Investors , Regulatory Reform , Securities and Exchange Commission (SEC) , Securities Fraud , Securities Regulation , Settlement

Current Developments in SEC Enforcement for Public Companies and a Look Ahead 2024–2025

The US Securities and Exchange Commission (SEC) brought a number of notable enforcement proceedings against public companies in fiscal year 2024, which ended September 30, 2024, and into the first quarter of fiscal year 2025....more

2/3/2025 / Corporate Governance , Corporate Misconduct , Enforcement Actions , Investors , Publicly-Traded Companies , Reporting Requirements , Securities and Exchange Commission (SEC) , Securities Regulation , Securities Violations

Securities Enforcement Roundup – November 2024

IIn this issue of our monthly Securities Enforcement Roundup, we highlight top securities enforcement developments and cases from November 2024. In November 2024: The US Court of Appeals for the DC Circuit issued a decision...more

12/6/2024 / Enforcement Actions , Environmental Social & Governance (ESG) , Financial Industry Regulatory Authority (FINRA) , FinCEN , Securities and Exchange Commission (SEC) , Suspicious Activity Reports (SARs)

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