Enforcement Actions

Last week, the Securities and Exchange Commission revoked [...]

“Summertime, and the livin’ is easy.” Remember that lazy refrain from Porgy and Bess, written by Ira Gershwin, and made…

The Securities and Exchange Commission focused on several new types of financial and securities abuses during 2015 and filed a…

Former Morgan Stanley financial adviser Galen Marsh plead guilty to accessing the firm’s computer network without permission, some of which…

Citigroup, Inc. has agreed to pay $180 million to settle charges brought by the SEC which alleged the firm improperly…

We previously reported here [Hill, 6-19-15 post] on what is currently the only case where an SEC administrative proceeding has…

In the past two months, an SEC administrative proceeding against a well-known financial figure in New York has demonstrated the…

In 2010, the Dodd-Frank Act expanded the SEC’s power to enforce the securities laws with the use of Administrative Proceedings.…

This last week saw two notable developments: Judge Rakoff’s speech at PLI, and the NYT Op-Ed piece calling for the…

In mid October of 2014, the Securities and Exchange Commission (SEC) reported that it filed a record 755 enforcement actions…