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
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
10/1/2022
/ 10b5-1 Plans ,
Accounting Standards ,
Audits ,
Civil Monetary Penalty ,
Disgorgement ,
Enforcement Actions ,
Failure To Disclose ,
Foreign Corrupt Practices Act (FCPA) ,
Insider Trading ,
Internal Controls ,
PCAOB ,
Rule 10b-5 ,
Securities ,
Securities Act of 1933 ,
Securities Exchange Act ,
Securities Violations ,
Settlement ,
Statute of Limitations
The Nutter Securities Enforcement Update is a periodic summary of noteworthy recent securities enforcement activity, settlements, decisions, and charges. ...more
8/9/2022
/ Advisors Act ,
Cease and Desist Orders ,
Civil Monetary Penalty ,
Disgorgement ,
Enforcement Actions ,
Illegal Tipping ,
Investment Adviser ,
Rule 10b-5 ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Violations ,
Settlement