Criminal Prosecution, Securities Litigation, Securities and Exchange Commission (SEC)

Nutter Securities Enforcement Update: July 1, 2025

Nutter McClennen & Fish LLP on 7/9/2025

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

Khouri: Is UK-US Extradition on Its Way to Becoming an Ex-Tradition?

Skadden, Arps, Slate, Meagher & Flom LLP on 3/3/2025

On 12 February 2025, the UK Supreme Court handed down its decision in El-Khouri v Government of the United States of America (El-Khouri), declining to extradite Joseph El-Khouri to the US. The ruling marks a pivotal moment in...more

How to Manage the Risks of SPAC Securities Fraud Actions in 2022

White & Case LLP on 3/3/2022

In March 2021, White & Case published a client alert entitled "How SPACs Can Manage the Risks of White Collar Scrutiny." The article discussed the surge in interest and publicity surrounding "SPACs" (Special Purpose...more

Defending Against Fraud Allegations in Litigation Under Section 206 of the Investment Advisers Act

Oberheiden P.C. on 10/12/2021

Section 206 of the Investment Advisers Act of 1940 is one of the many laws the U.S. Securities and Exchange Commission (SEC) uses to combat investment fraud. Under Section 206, investment advisers can face enforcement action...more

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

Jones Day on 1/21/2020

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

SEC and DOJ Charge Former Executives of Private Company for Misrepresenting the Company’s Technology - A Reminder that Private...

Fenwick & West LLP on 2/21/2019

In a case reminiscent of last year’s blockbuster government actions against Theranos and its former executives, the U.S. Department of Justice and the U.S. Securities and Exchange Commission have separately charged two former...more

This Week In Securities Litigation (Week ending December 20, 2013)

Dorsey & Whitney LLP on 12/20/2013

Michael Steinberg, formerly of SAC Capital, was found guilty of insider trading by a jury. The verdict preserved the unblemished record of the US Attorney’s Office in Manhattan which has prevailed in each of the insider...more

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