Investment Management, Department of Justice (DOJ), Enforcement Actions

Antitrust Scrutiny of Investors Under a New Administration

Baker Botts L.L.P. on 6/12/2025

Under the old guard of the prior administration, private equity was repeatedly under fire for alleged “flip and strip” tactics that were supposedly “at odds with competition.” Now, with new enforcers in place, a different...more

Weekly Blockchain Blog - May 2025 #3

BakerHostetler on 5/19/2025

Fintech Companies Announce Crypto-Focused Acquisitions and Partnerships - A U.S.-based crypto infrastructure solutions provider announced in a recent press release that it has signed a definitive agreement to acquire a...more

Investment Management Roundtable Discussion – Regulatory and Enforcement Update

Troutman Pepper Locke on 1/10/2020

Gregory J. Nowak, a partner and practice leader for hedge funds in Pepper Hamilton’s Private Fund Services Practice Group, hosts a series of candid, interactive webinar discussions for West LegalEdcenter on what is going on...more

The Kokesh Decision – One Question Answered, Others Left Open

Thomas Fox - Compliance Evangelist on 6/7/2017

In the case of Kokesh v. SEC, the US Supreme Court held the profit disgorgements operate as a penalty under the Securities and Exchange Act of 1934, as amended. As such “any claim for disgorgement in an SEC enforcement action...more

When Passive Investors Take a Stand – HSR Act Enforcement Put to the Test

Proskauer Rose LLP on 4/14/2016

Enforcement actions for violations of the Hart-Scott-Rodino Act (HSR) often are announced with substantial money penalties or other restrictions agreed in advance between the agency and the parties. Not so with the Department...more

This Week In Securities Litigation

Dorsey & Whitney LLP on 6/13/2015

The question of forum selection by the SEC was a key issue this week. While to date suits challenging the SEC’s right to bring an action as an administrative proceeding rather than in federal court have had little success –...more