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
6/4/2025
/ Administrative Procedure ,
Broker-Dealer ,
Cryptocurrency ,
Enforcement Actions ,
Insider Trading ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Funds ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Securities Regulation ,
Trump Administration
In light of the new administration’s focus on immigration-related issues, many employers are seeking guidance on how to best prepare for a potential U.S. Immigration and Customs Enforcement (ICE) raid. Employers are wise to...more
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
2/4/2025
/ Anti-Money Laundering ,
Broker-Dealer ,
Corporate Governance ,
Cybersecurity ,
Enforcement Actions ,
Environmental Social & Governance (ESG) ,
Financial Crimes ,
Insider Trading ,
Investment Adviser ,
Investment Management ,
Public Offerings ,
Securities Act of 1933 ,
Securities Exchange Act ,
Securities Regulation
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
10/14/2024
/ Administrative Procedure Act ,
Broker-Dealer ,
Chevron Deference ,
Coinbase ,
Conflicts of Interest ,
Cryptoassets ,
Cyber Attacks ,
Cybersecurity ,
Disgorgement ,
Enforcement Actions ,
Failure To Disclose ,
Insider Trading ,
Institutional Investors ,
Internal Controls ,
Investment Advisers Act of 1940 ,
Investment Companies ,
Investment Company Act of 1940 ,
Loper Bright Enterprises v Raimondo ,
Market Manipulation ,
Pay-To-Play ,
SCOTUS ,
SEC v Jarkesy ,
Securities ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Litigation ,
Securities Violations ,
SolarWinds
Massachusetts has officially joined the growing list of states requiring employers to include salary ranges in job postings—but not until 2025. On July 31, 2024, Governor Maura Healey signed Bill H. 4890, “An Act relative to...more
Overview: Investment advisers that seek to manage public money need to consider the SEC’s “pay to play” rule, which restricts election-related contributions by the firms or their “covered associates” to elected state...more
8/15/2024
/ CFTC ,
Covered Person ,
Financial Industry Regulatory Authority (FINRA) ,
Government Entities ,
Governor Walz ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
MSRB ,
Pay-To-Play ,
Political Campaigns ,
Political Contributions ,
Presidential Elections ,
Securities and Exchange Commission (SEC)
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
4/18/2024
/ CFOs ,
Civil Monetary Penalty ,
Cooperation ,
Electronic Communications ,
Enforcement ,
Enforcement Actions ,
Investment Adviser ,
Registered Investment Advisors ,
Regular Business Communications ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Violations ,
Settlement
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 update of noteworthy recent securities enforcement activity, settlements, decisions, and charges. We provide brief summaries that highlight recent enforcement action...more
4/5/2024
/ Aiding and Abetting ,
Audits ,
Block Trades ,
Broker-Dealer ,
Civil Monetary Penalty ,
Compliance ,
Criminal Liability ,
Enforcement Actions ,
ETFs ,
Failure To Disclose ,
Fiduciary Rule ,
Foreign Corrupt Practices Act (FCPA) ,
Forfeiture ,
Fraud ,
Influencers ,
Insider Trading ,
Institutional Shareholder Services (ISS) ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Market Manipulation ,
Material Nonpublic Information ,
Misleading Statements ,
Misrepresentation ,
Morgan Stanley ,
Offerings ,
PCAOB ,
Proxy Advisory Firms ,
Publicly-Traded Companies ,
Regulation M ,
Restitution ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Litigation ,
Securities Violations ,
Settlement ,
Special Purpose Acquisition Companies (SPACs) ,
Whistleblower Protection Policies
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