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Foreign Corrupt Practices Act (FCPA) › Investment Adviser › Securities Fraud

Morrison & Foerster LLP

Top 5 SEC Enforcement Developments for July 2025

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Each month, we publish a roundup of the most important SEC enforcement developments for busy in-house lawyers and compliance professionals. This month, we examine the following matters: • An SEC complaint alleging a Georgia...more

Snell & Wilmer

SEC Enforcement Activity in the Second Quarter of 2025: The Start of the Back-to-Basics Atkins Era

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Paul Atkins was sworn in as SEC (Securities and Exchange Commission) Chairman on April 21, 2025. In a staff town hall meeting on May 6, 2025 he articulated a statement of purpose for the Enforcement program: “Investor...more

Freiberger Haber LLP

Enforcement News: SEC Charges Investment Advisor With Violating Whistleblower Protection Rule

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We have often written about the SEC’s whistleblower program and, in particular, the success of the program with respect to detecting and preventing violations of the federal securities laws. The success of the program...more

Dorsey & Whitney LLP

This Week In Securities Litigation (Holiday wrap-up edition)

Dorsey & Whitney LLP on

Through the holidays (Dec. 19 – 31, 2014) the Department of Justice and the SEC continued to file securities enforcement actions. The Department brought an FCPA case which is now number two on the top ten list for amounts...more

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