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Investment Management and Private Funds Roundtable: TALF 2020 and PPP Update
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Videocast: Asset management regulation in 2020 videocast series – SEC enforcement
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
Chan v. Anthony, et al. was filed in the District Court for Denver County, Colorado on March 1, 2022, asserting claims under the Colorado Securities Act for securities fraud, investment advisor fraud, unlicensed broker/dealer...more
Ponzi scheme cases have, of course, become a staple of SEC enforcement since the discovery of Madoff’s unprecedented scheme. While there seems to be a virtually endless number of these cases centered on the preverbal “to good...more
The sheer number of enforcement actions brought against broker-dealers and investment advisers makes it challenging to keep up. In this alert, we divide this year’s most important cases against broker-dealers and investment...more