On July 11, 2025, the Securities and Exchange Commission (“SEC” or the “Commission”) announced that it had settled an enforcement action against two individuals who were alleged to have engaged in insider trading. The SEC’s...more
7/16/2025
/ Compliance ,
Criminal Investigations ,
Disclosure ,
Enforcement Actions ,
FBI ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Markets ,
Fraud ,
Insider Trading ,
Penalties ,
Regulatory Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Violations ,
White Collar Crimes
On January 9, 2023, the Securities and Exchange Commission (“SEC”) issued a cease-and-desist order (the “Order”)1 charging McDonald’s Corporation (“McDonald’s”) and its ex-CEO, Stephen Easterbrook, with multiple disclosure...more
1/25/2023
/ Breach of Duty ,
Cease and Desist Orders ,
CEOs ,
Civil Monetary Penalty ,
Compensation ,
Disclosure ,
Disclosure Requirements ,
Executive Compensation ,
Failure To Disclose ,
Fraternization Policies ,
Internal Investigations ,
McDonalds ,
Principal Executive Officer ,
Proxy Statements ,
Regulation S-K ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Separation Agreement ,
Termination for Cause
On April 18, 2021, the Securities and Exchange Commission (“SEC”) announced the fourth enforcement action arising from its EPS Initiative, charging Rollins Inc. (“Rollins”) and its former chief financial officer (“CFO”) with...more
Earlier this week, the Securities and Exchange Commission (“SEC”) announced a $125 million settlement of charges against Nikola Corporation (“Nikola”), a publicly-traded company created through a special purpose acquisition...more
12/22/2021
/ Cease and Desist Orders ,
Compliance Monitoring ,
Corporate Counsel ,
Disclosure ,
Enforcement ,
Instagram ,
Intent to Defraud ,
Misrepresentation ,
Podcasts ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Social Media ,
Special Purpose Acquisition Companies (SPACs) ,
Twitter