‘Enforcement 40’ for 2020
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Join the Securities Litigation and Enforcement Group on LinkedInAlex Oh Resigns from SEC; Melissa Hodgman Named Acting Director of Enforcement
The Securities and Exchange Commission today announced that Alex Oh has resigned her position as Director of the Division of Enforcement for personal reasons. Melissa Hodgman will return to the role of Acting Director of the Division of Enforcement. Source: SEC.gov | Alex Oh Resigns from SEC; Melissa Hodgman Named Acting Director of Enforcement
Patrick Bryan Named PCAOB Director of the Division of Enforcement and Investigations
The Public Company Accounting Oversight Board today announced that Patrick Bryan has been named the PCAOB’s Director of the Division of Enforcement and Investigations. In this role, Mr. Bryan will advance the organization’s investigations and litigation of violations of PCAOB rules and other applicable securities regulations. *** Mr. Bryan currently serves as the Assistant General […]
Mar. 1 Webcast: SEC Enforcement — Current Developments and What’s Ahead for 2019
Please join Bill McLucas, Doug Davison, Marty Wilczynski and Steve Richards for this free webcast.
Can Hester Peirce Refocus The SEC On Its Real Job?
A closer look at Peirce’s public activities since she became Commissioner in January suggests that her opinion on this specific issue isn’t just a one-off. To the contrary, it reflects a larger deregulatory sensibility that has gladdened financial institutions and investors alike. For example, in those same remarks, Peirce warned the Commission against focusing on […]
Will the SEC Drop Broken Windows Enforcement? — Financial Advisor IQ
In the Trump era, will the SEC’s enforcement division continue to pursue its “no broken windows” policy — which calls for its prosecution of minor infractions by institutions and individuals? Lawyers warn advisors to heighten their senses over the watchdog’s enforcement activities. via Financial Advisor IQ – Will the SEC Drop Broken Windows Enforcement?
Signs of a Step Back in Financial Regulatory Enforcement – The New York Times
Enforcement often relies on the presence of people with the authority to issue punishments, so cutting back is not so much a matter of changing the law as having fewer cops on the beat. We may be seeing the beginning of that kind of shift away from enforcement as President Trump’s administration works to roll […]
SEC’s White Warns: ‘Serious Mistake’ to Weaken Securities Rules — Corporate Counsel
“I would hope—and expect—that the significant enhancements we have made will be continued in future years, with the SEC acting as an aggressive and strong regulator of the federal securities laws, consistently looking to broaden our impact and strengthen deterrence of wrongdoing,” White said. “That is our duty and the SEC should continue to use […]
Recent Criticism of the SEC: Fair or Unfair? — HLS Forum
Over the last few years, the SEC has been criticized for (1) failing to Over the last few years, the SEC has been criticized for (1) failing to “consistently and aggressively enforce the securities laws and protect investors and the public,” (2) obtaining sanctions that amount to only a slap on the wrist against major […]