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Criminal Prosecution › Enforcement Actions › Retail Investors

Winstead PC

SEC and DOJ Bring Parallel Actions in $275 Million Ponzi Schemes Involving Water Vending Machines

Winstead PC on

There has not been much news regarding SEC enforcement lately, but today the SEC and DOJ both charged a founder of a Washington-based water vending machine manufacturer Water Station Management, LLC and two related companies...more

Hogan Lovells

Enforcement is alive and well, despite changes to CFTC referral policy

Hogan Lovells on

The Commodity Futures Trading Commission (CFTC) issued an advisory regarding criminal referrals to the Department of Justice (DOJ) that de-emphasizes strict liability. Criminal enforcement of referrals will continue for...more

Jones Day

SEC Enforcement in Financial Reporting and Disclosure: 2019 Year-End Update

Jones Day on

We are pleased to present our annual year-end update on financial reporting and issuer disclosure enforcement activity for 2019. This White Paper focuses on the U.S. Securities and Exchange Commission's ("SEC") enforcement...more

Skadden, Arps, Slate, Meagher & Flom LLP

Agencies Indicate Efficient, Targeted Enforcement Priorities That Rely on Self-Disclosure

Skadden, Arps, Slate, Meagher & Flom LLP on

One year into the Trump administration, it remains difficult to forecast what lies ahead with respect to regulatory and white collar enforcement activity. Perhaps most instructive are recent public statements of officials at...more

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