The Nutter Securities Enforcement Update is a periodic update of noteworthy recent securities enforcement activity, settlements, decisions, and charges. We provide brief summaries that highlight recent enforcement action...more
7/9/2025
/ Broker-Dealer ,
Corporate Governance ,
Criminal Prosecution ,
Cryptoassets ,
Disgorgement ,
Enforcement Actions ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Misappropriation ,
Offering Fraud ,
Real Estate Investments ,
Regulation A ,
Rule 10b-5 ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Securities Litigation ,
Securities Regulation ,
Unregistered Securities
The Nutter Securities Enforcement Update is a periodic update of noteworthy recent securities enforcement activity, settlements, decisions, and charges. We provide brief summaries that highlight recent enforcement action...more
6/4/2025
/ Administrative Procedure ,
Broker-Dealer ,
Cryptocurrency ,
Enforcement Actions ,
Insider Trading ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Funds ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Securities Regulation ,
Trump Administration
The Nutter Securities Enforcement Update is a periodic update of noteworthy recent securities enforcement activity, settlements, decisions, and charges. We provide brief summaries that highlight recent enforcement action...more
2/4/2025
/ Anti-Money Laundering ,
Broker-Dealer ,
Corporate Governance ,
Cybersecurity ,
Enforcement Actions ,
Environmental Social & Governance (ESG) ,
Financial Crimes ,
Insider Trading ,
Investment Adviser ,
Investment Management ,
Public Offerings ,
Securities Act of 1933 ,
Securities Exchange Act ,
Securities Regulation
The Nutter Securities Enforcement Update is a periodic summary of noteworthy recent securities enforcement activity, settlements, decisions, and charges....more
1/17/2024
/ Accounting ,
Accounting Fraud ,
Audits ,
Bonds ,
Credit Suisse ,
Disclosure Requirements ,
Enforcement Actions ,
Fraud ,
Insider Trading ,
Investment Adviser ,
Investment Company Act of 1940 ,
Market Manipulation ,
Material Misstatements ,
Offerings ,
Public Offerings ,
Publicly-Traded Companies ,
Registered Investment Advisors ,
Reporting Requirements ,
Rule 10b-5 ,
Securities ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Fraud ,
Securities Regulation ,
Special Purpose Acquisition Companies (SPACs) ,
State Securities Regulators ,
UBS
The Nutter Securities Enforcement Update is a periodic summary of noteworthy recent securities enforcement activity, settlements, decisions, and charges....more
12/1/2022
/ Audits ,
Bitcoin ,
Broker-Dealer ,
Disclosure Requirements ,
Enforcement Actions ,
Environmental Social & Governance (ESG) ,
Financial Services Industry ,
Fund Managers ,
Insider Trading ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Funds ,
Investment Management ,
Investors ,
Market Manipulation ,
Registered Investment Advisors ,
RMBS ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Securities Violations ,
Unregistered Securities
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