The New Year is still young, but major changes are already afoot in securities enforcement as Congress amended the Securities Exchange Act of 1934 (“Exchange Act”) on January 1, 2021. It was easy to miss these changes to the...more
2/4/2021
/ Amended Regulation ,
Disgorgement ,
Enforcement Actions ,
Government Investigations ,
Kokesh v SEC ,
Liu v Securities and Exchange Commission ,
NDAA ,
Penalties ,
Securities Exchange Act of 1934 ,
Securities Regulation ,
Securities Violations
Last week, the United States Court of Appeals for the Fourth Circuit issued a significant ruling that a business owner who made a $4.5 million disgorgement deal with the SEC to resolve civil fraud claims cannot escape...more