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White Collar Crimes Securities Regulation Securities Fraud

Holland & Knight LLP

SEC Enforcement Action Against Alleged Real Estate Fraudster Heats Up

Holland & Knight LLP on

On May 22, 2025, the SEC brought a case of affinity fraud before the U.S. District Court for the Northern District of California against Bay Area real estate investor Kenneth Mattson alleging more than $46 million in...more

Akerman LLP

First-Ever Prosecution for Sales Under Rule 10b5-1 Trading Plan

Akerman LLP on

Executive Sentenced to 42 Months in Prison - Company insiders rely upon Rule 10b5-1 trading plans to sell stock pursuant to predetermined trades, allowing them to later trade securities even though they may be in...more

Bradley Arant Boult Cummings LLP

SEC Enforcement in the First Quarter of the New Administration

The new presidential administration began on January 20, 2025, and change came quickly to many federal agencies, including the U.S. Securities and Exchange Commission (SEC). On Inauguration Day, Paul S. Atkins was nominated...more

A&O Shearman

SEC Charges Three Arizona Individuals With Fraudulent Municipal Bond Offering

A&O Shearman on

On April 1, 2025, the Securities and Exchange Commission filed a complaint three individuals for allegedly defrauding investors in a $284 million municipal bond offering intended to finance a sports complex and family...more

Morrison & Foerster LLP

When Your Life Sciences Are on the Line: Securities Enforcement

Morrison Foerster partners Kate Driscoll and Nate Mendell, both former federal prosecutors and members of the firm’s Investigations + White Collar Defense Group, hosted the eighth episode of When Your Life Sciences Are on the...more

Foley Hoag LLP - White Collar Law &...

SEC to Continue Aggressive Enforcement Efforts in 2024 After Record-Setting 2023

This is the fourth in our 2024 Year in Preview series examining important trends in white collar law and investigations in the coming year. We will be posting further installments in the series throughout the next several...more

Katten Muchin Rosenman LLP

SEC 2023 Examination Priorities

On February 7, the Securities and Exchange Commission’s (SEC) Division of Examinations (Division) published its examination priorities for 2023.1 According to this statement, the Division’s mission is to promote compliance,...more

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