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King & Spalding

Fewer Cases So Far, with a Focus on Retail Investor Fraud – A Look at the First Six Months of SEC Enforcement Under the New...

King & Spalding on

The enforcement results for the first six months of the new administration show that while the Securities and Exchange Commission (“SEC”) has instituted substantially fewer new enforcement actions as compared to the same...more

Oberheiden P.C.

SEC Continues to Target Brokers and Investment Advisors with Cherry Picking Investigations

Oberheiden P.C. on

The U.S. Securities and Exchange Commission (SEC) has conducted several publicized investigations focused on broker and investment adviser or advisor cherry-picking in recent years. Most recently, the SEC announced on August...more

Oberheiden P.C.

The SEC Investigation Process: An Overview

Oberheiden P.C. on

The U.S. Securities and Exchange Commission (SEC) investigates companies, brokerage firms, and individuals for a broad range of statutory and regulatory violations. These investigations can lead to civil or administrative...more

Farrell Fritz, P.C.

Court Confirms Arbitration Award Against Respondent Who Failed to Check Her Mail

Farrell Fritz, P.C. on

A recent decision out of the Suffolk County Commercial Division underscores the importance of staying on top of your mail if you plan on leaving New York for an extended period of time....more

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