SEC: Enforcement

Baseball great Yogi Berra famously said 'it ain’t over till it’s over.' After a court decision in a case involving a CCO, the question is ...

The Commission wants the party to 'feel the financial penalty of the resolution'

The conservative majority of justices held that the Seventh Amendment to the Constitution gives defendants that right

This is the U.S. Supreme Court's 2024 decision in a case that rules defendants in an SEC enforcement action have a right to a trial ...

The case helps to define that sometimes squiggly line around CCO liability, and conjures advice for how a CCO should act when her superior shows ...

A new SEC enforcement case contains lessons on what not to do if your firm suffers a ransomware attack

Avoid this mistake: Advertising performance 'without an accompanying qualification or disclaimer on that page suggesting such results were anything other than performance results of the ...

"Also concerning is the Commission’s decision to stretch the law to punish a company that was the victim of a cyberattack. While an enforcement action ...

The "threat actor was able to utilize deceptive hacking techniques to install encryption software on certain" of the adviser's "computers (mostly virtual machines) and exfiltrated ...

When advertising the performance of a private fund, the adviser presented performance returns that were experienced by a single investor. These returns did not constitute ...