Subscribe
‘Enforcement 40’ for 2020
Our Sponsors
Join Us On LinkedIn
Join the Securities Litigation and Enforcement Group on LinkedInBlog: SEC Enforcement Co-Director discusses COVID-19-related enforcement priorities | Cooley LLP – JDSupra
In his keynote address to Securities Enforcement Forum West 2020, SEC Enforcement Co-Director Steven Peikin discussed some of the efforts of the Division of Enforcement to detect misconduct arising out of the COVID-19 pandemic and related market disruption, including the formation of a steering committee to proactively identify and monitor areas of potential misconduct. Of […]
Kelly Loeffler considers SEC ‘Hail Mary’ over stock sales | Fox Business
People close to Loeffler are advising her to meet directly with securities regulators including those at the Securities and Exchange Commission, Wall Street’s top cop, and make her case that the stock sales were not based on illegal “insider” information. The game plan is to get regulators to publicly state that Loeffler’s stock sales were legal and that […]
SEC Watching for Signs Companies May Blame Old Problems on Virus
“We’re all very aware of the challenges that companies and individuals are facing during this time with regard to financial reporting, accounting, and auditing. We’re also very much aware of the history of economic downturns and how these situations can reveal past errors or frauds,” said Matt Jacques, chief accountant for the Division of Enforcement […]
Tips to U.S. Securities and Exchange Commission have surged in recent weeks -official – Reuters
The agency has received over 4,000 such tips since mid-March, representing a 35% increase over the same period a year ago, Steven Peikin, co-director of the SEC’s Enforcement Division, told attendees of a virtual conference. via Tips to U.S. Securities and Exchange Commission have surged in recent weeks -official – Reuters.
Keynote Address by Steven Peikin: Securities Enforcement Forum West 2020
So this afternoon, I’d like to share with you how the Division of Enforcement is responding during this ongoing crisis. I’ll describe some of the work we are doing to detect and address COVID-19-related misconduct. Then I will turn to our regular docket of investigations and litigations. All of our regular enforcement responsibilities remain in […]