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Financial Markets Securities Violations Compliance

Vinson & Elkins LLP

Small Gains Yield Big Pain: How a $2,400 Profit Triggered an SEC, FBI, and FINRA Cavalry

Vinson & Elkins LLP on

On July 11, 2025, the Securities and Exchange Commission (“SEC” or the “Commission”) announced that it had settled an enforcement action against two individuals who were alleged to have engaged in insider trading. The SEC’s...more

The Volkov Law Group

The SEC’s Recent Action Against Crypto Exchange ShapeShift Lacks Guidance and Draws Internal Criticism

The Volkov Law Group on

On March 5, 2024, the U.S. Securities and Exchange Commission (“SEC”) announced charges and a corresponding cease-and-desist order (the “Order”) with ShapeShift AG, a cryptocurrency exchange registered in Switzerland that...more

The Volkov Law Group

The SEC Targets ICOs for Enforcement

The Volkov Law Group on

I am always amazed at how “business” entrepreneurs ignore enforcement risks in the face of specific warnings from regulators.  The SEC and the CFTC have made it clear to the emerging initial coin offering (ICO) and...more

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