Every September, the SEC really ramps up its enforcement actions to coincide with the end of the fiscal year, which is Monday. Pretty much every day, there’s a few announcements in my inbox. So I decided to go back and look at the numbers and they’re pretty shocking. So far this September (there’s the rest of today and Monday still…
The Securities and Exchange Commission has ramped up enforcement activity this month, announcing settlements or charges in more than two dozen matters. The activity this month has led to work for nearly a dozen law firms so far that have been retained as defense counsel. While the end of the government’s fiscal year regularly leads to a flurry of SEC…
Mary Jo White will end her first full fiscal year running the Securities and Exchange Commission able to claim an increase in its annual tally of cases, the first year-over-year rise since 2011, according to people close to the agency. It is an important benchmark for the SEC chairman, a former federal prosecutor who promised “aggressive and creative” enforcement soon…