SEC Enforcement in 2026: What the “Back to Basics” Pivot Means for Broker-Dealers and Financial Advisers
After a year of leadership turnover and public uncertainty about the direction of the SEC’s enforcement program, the Division of…
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When FINRA Comes Calling: Who Pays for the Lawyer?
Regulatory inquiries from FINRA, the SEC, the DFPI, or the California Department of Insurance often raise an uncomfortable question for…
Read MoreDon’t Forget Form D – Recent SEC Enforcement Actions Emphasize the Importance of Timely Filing Form D
On December 20, 2024, the Securities Exchange Commission announced that it had settled with multiple entities for failing to timely…
Read MoreRegulators Pursue Enforcement Actions Against Woodbridge Sales Representatives
Last December, the Securities and Exchange Commission accused the Woodbridge Group of Companies and its founder, Robert Shapiro, of running…
Read MoreOGC and Enforcement at SEC Speaks 2018 – Words Matter, Process Matters, Homework Matters
Dennis Stubblefield, a Partner at the firm, recently attended SEC Speaks, the Commission’s annual conference in which senior staff from…
Read MoreFederal Court Denies Broker-Dealer’s Request for Internal FINRA Documents in SEC Enforcement Action
On February 13, 2018, a federal district court judge denied a U.S. broker-dealer’s request for leave to compel internal regulatory…
Read MoreSEC Unmasked: How Safe are Its Investigative Files?
We just posted our overview of the SEC Hack. The agency has thus far specified just EDGAR as being compromised…
Read MoreSan Diego Securities Lawyers: SEC Enforcement Action Up 20%
In the past six months, SEC enforcement actions against broker-dealers were up 20% [...]
Read MoreSan Diego Securities Lawyers: Merrill Lynch Veteran Pleads Guilty to $8.7M Bank Fraud
Jeffrey Kluge, a 25 year veteran of Merrill Lynch based in St. Paul, Minneapolis, plead guilty to two counts of…
Read MoreFINRA Expels Red River Securities
A recent decision by a federal appellate court has cast doubt on whether decisions by SEC administrative judges are [...]
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