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‘Enforcement 40’ for 2020
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Join the Securities Litigation and Enforcement Group on LinkedInA Job Well Done by the Commission – SEC ACTIONS
The Commission’s focus on retail investors has resulted in a series of cases frequently called offering frauds. In those cases, as repeatedly noted in this space, investors typically get lured to part with what is often their savings and/or retirement capital by unscrupulous persons. Frequently the schemers bate investors by waving around high-profile and popular […]
Wall St’s top cops defend new focus on Main St | Financial Times
The US Securities and Exchange Commission has long been called the top cop on Wall Street, but in Donald Trump’s administration the regulator has struck a softer tone. The SEC has shifted focus since 2017 under the direction of chairman Jay Clayton, with blockbuster corporate fines giving way to cases in which Main Street investors […]