The Nutter Securities Enforcement Update is a periodic summary of noteworthy recent securities enforcement activity, settlements, decisions, and charges. ...more
2/1/2022
/ Broker-Dealer ,
Crowdfunding ,
Enforcement Actions ,
Insider Trading ,
Internal Audit Functions ,
Investment Adviser ,
Investment Companies ,
Offerings ,
Publicly-Traded Companies ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Securities Violations
In an 8-1 decision, the U.S. Supreme Court upheld the authority of the Securities and Exchange Commission (SEC) to seek disgorgement from defendants in SEC enforcement actions, but placed important limitations upon the...more
6/25/2020
/ 15 U.S.C. § 78u(d)(5) ,
Administrative Authority ,
Business Expenses ,
Calculation of Damages ,
Corporate Misconduct ,
Disgorgement ,
Enforcement Actions ,
Equitable Relief ,
Kokesh v SEC ,
Lack of Authority ,
Liu v Securities and Exchange Commission ,
Net Profits ,
Remedies ,
SCOTUS ,
Securities and Exchange Commission (SEC)
On February 12, 2018, the U.S. Securities and Exchange Commission (“SEC”) Enforcement Division announced a new initiative in its continued effort to seek reimbursement for clients of fee-based investment advisers which failed...more