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Securities and Exchange Commission (SEC) › Disgorgement › Remand

Holland & Knight LLP

SEC Feels the Heat

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Earlier this year, the U.S. Court of Appeals for the First Circuit vacated and remanded a $93 million district court judgment entered against a broker-dealer and investment adviser for allegedly inadequate disclosures of...more

Sheppard Mullin Richter & Hampton LLP

Second Circuit Reins in SEC Disgorgement Powers

Sheppard Mullin Richter & Hampton LLP on

In Securities & Exchange Commission v. Govil, No. 22-1658, 2023 WL 7137291 (2d Cir. Oct. 31, 2023), the United States Court of Appeals for the Second Circuit dealt a setback to the enforcement agenda of the Securities and...more

Sheppard Mullin Richter & Hampton LLP

Ninth Circuit Reverses SEC Disgorgement Award and Remands in First Decision Post-Liu

Sheppard Mullin Richter & Hampton LLP on

For the first time outside of the originating case itself, a federal appeals court was called upon to apply the principles governing disgorgement in SEC enforcement actions established by the United States Supreme Court’s...more

Dorsey & Whitney LLP

SEC Injunctions: A New Standard?

Dorsey & Whitney LLP on

The remedy of choice for the SEC Enforcement Division has always been the statutory injunction. For many years  the only remedy available to the Division was the obey-the-law statutory injunction....more

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