On September 9, 2024, approximately one year since its first flurry of similar Marketing Rule actions, the Securities and Exchange Commission (the SEC) announced settlements with nine SEC-registered investment advisers (the...more
9/17/2024
/ Civil Monetary Penalty ,
Compliance ,
Enforcement Actions ,
Form ADV ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Marketing ,
Registered Investment Advisors ,
Securities and Exchange Commission (SEC) ,
Securities Violations ,
Social Networks ,
Websites
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 following is an edited version of a conversation between Goodwin partners Jonathan Hecht and Isaac Vinyarsh. Before joining Goodwin, Jonathan spent more than a decade in the SEC’s Division of Enforcement, including...more
7/24/2023
/ Civil Monetary Penalty ,
Conflicts of Interest ,
Disclosure Requirements ,
Disgorgement ,
Enforcement Actions ,
Enforcement Priorities ,
Excessive Fees ,
Fees ,
Fund Managers ,
Prejudgment Interest ,
Private Investment Funds ,
Proposed Rules ,
Risk Mitigation ,
Securities and Exchange Commission (SEC)