The Nutter Securities Enforcement Update is a periodic update of noteworthy recent securities enforcement activity, settlements, decisions, and charges. We provide brief summaries that highlight recent enforcement action...more
Of the 46 enforcement actions in 2023: 26 actions (57%) alleged fraud under Section 17(a) - of the Securities Act and/or Section 10(b) and Rule 10b-5 of the Exchange Act; 28 (61%) alleged an unregistered securities...more
Significant parallel actions commenced this week by the Securities and Exchange Commission (SEC) and the Department of Justice (DOJ) bring crypto fraud enforcement into the spotlight, with the SEC alleging that multiple...more