News & Analysis as of

Fraud › Disclosure › Enforcement Actions

Fraud is the making of false representations or engaging in deceptive behavior in order to unlawfully secure financial or personal gain. 
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

Cadwalader, Wickersham & Taft LLP

CFTC and SEC Issue Guidance on Security-Based Swaps and Fraud in OTC Swap Disclosures

Cadwalader, Wickersham & Taft LLP on

On October 21, Commodity Futures Trading Commission (“CFTC”) Commissioner Caroline D. Pham issued a concurring statement to the CFTC’s amended complaint originally filed on April 27, 2022 in the U.S. District Court for the...more

White & Case LLP

How to navigate the increase in financial crime risks during a downturn

White & Case LLP on

Financial crime flourishes in a downturn, and the mining & metals sector is not immune to it. The sector faces a number of industry-specific risks, and will need to react to the ensuing likely surge in enforcement activity....more

McDermott Will & Schulte

Second Circuit Sustains Fraud Claim for Not Disclosing SEC Investigation

McDermott Will & Schulte on

Companies under US Securities and Exchange Commission (SEC) investigation focus on marshaling the facts, defenses and related strategies during the course of the investigation and making presentations to the enforcement...more

Sheppard Mullin Richter & Hampton LLP

SEC Co-Director of Enforcement Outlines Division’s Response to COVID-19

Sheppard Mullin Richter & Hampton LLP on

On May 12, 2020, speaking at the Securities Enforcement Forum West 2020, Steven Peikin, the co-Director of the Securities and Exchange Commission Enforcement Division, provided an overview of the division’s activities over...more

Skadden, Arps, Slate, Meagher & Flom LLP

Cross-Border Investigations Update - September 2019

Skadden, Arps, Slate, Meagher & Flom LLP on

This issue of Skadden’s semiannual Cross-Border Investigations Update takes a close look at recent cases, regulatory activity and other key developments, including a review of the first year of GDPR enforcement, analysis of...more

Burr & Forman

SEC ALJ Slams Bebo; Summarily Denies ConLaw Challenge

Burr & Forman on

Laurie Bebo, CEO of Assisted Living Concepts, initially got some sympathetic words from the U.S. District Judge who felt constrained to turn away her constitutional challenge to the SEC’s administrative forum: The Court...more

Dorsey & Whitney LLP

Fund Principal Partially Resolves Administrative Charges

Dorsey & Whitney LLP on

A principal of an investment adviser partially settled a previously filed administrative proceeding which centers on claims that he and another Respondent improperly advised their clients to invest in off-shore funds without...more

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