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‘Enforcement 40’ for 2020
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Join the Securities Litigation and Enforcement Group on LinkedInGatekeepers Beware: SEC Escalates Danger for ICO Counsel | New York Law Journal
Chairman Clayton’s warnings to gatekeepers are not unprecedented—the SEC has issued such warnings before. But those warnings have teeth because of the Commission’s consistent history of following warnings with enforcement actions against attorneys and other gatekeepers. Only time will tell, but attorneys and other gatekeepers would do themselves and their clients well to be familiar […]
Mixed Enforcement Messages (and What’s in a Name?) | PCGC
Ms. Mehraban’s statements do little to lessen the concerns of directors and other “gatekeepers” over the SEC’s recent emphasis on bringing enforcement actions against individuals. Enforcement decisions still depend on whether the staff believes gatekeepers have behaved “unreasonably” or failed to be sufficiently proactive in the face of red flags. This is particularly alarming in […]
The SEC Goes After the Gate Keeper – Compliance Building
When a fraud is uncovered, the Securities and Exchange Commission no only wants to get the fraudsters, it also wants to get those who should have stopped the fraud. The SEC just brought an action against an IRA Custodian for ignoring red flags for its accounts that invested in Ponzi schemes. via The SEC Goes […]