Michael Kaupa

Michael Kaupa

Faegre Drinker Biddle & Reath LLP

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SEC Disgorgement Claim Challenged After Supreme Court’s Decision in Liu

The SEC’s disgorgement request in a litigated proceeding in federal district court is being challenged in the wake of the Supreme Court’s 2020 decision in Liu v. SEC, which limited how much the agency can seek in...more

2/9/2022  /  Accounting , Audits , Broker-Dealer , Business Expenses , Disgorgement , Investment Adviser , Liu v Securities and Exchange Commission , Publicly-Traded Companies , SCOTUS , Securities and Exchange Commission (SEC)

The SEC’s Renewed Focus on Accounting Misconduct

Two recent enforcement actions by the U.S. Securities and Exchange Commission (SEC), including a recent settled action against Kraft Heinz Co. (“Kraft”), underscore the agency’s renewed and continuing focus on accounting and...more

9/9/2021  /  Accounting Standards , Audits , Corporate Counsel , Enforcement Actions , Financial Reporting , Publicly-Traded Companies , Securities and Exchange Commission (SEC)
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