In this issue of our monthly Securities Enforcement Roundup, we highlight top securities enforcement developments and cases from May 2025. In May 2025: More ongoing developments in the crypto enforcement area at the US...more
The US Securities and Exchange Commission (SEC) brought a number of significant enforcement proceedings against investment advisers and broker-dealers in FY 2024 and during the first quarter of FY 2025. If history serves as a...more
In this issue of our monthly Securities Enforcement Roundup, we highlight top securities enforcement developments and cases from last month.
In July 2024: A district court dismissed several of the SEC’s claims against...more