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Melissa Hodgman, an associate director in the SEC’s the Division of Enforcement, appeared on a panel with members of the securities defense bar to discuss recent Commission enforcement actions involving financial disclosure and accounting fraud. The panel, hosted by the Securities Docket’s 2020 Securities Enforcement Forum, addressed a number of topics, including how the SEC […]
Like most of the rest of the world, the speakers and attendees at Securities Enforcement Forum West 2020 last week had to adapt this year by trading in their microphones on the stage of a grand ballroom for an array of home offices and Zoom backgrounds. But the panels themselves, several of which have become […]
With more than 130 highly trained enforcement accountants at his disposal, Matthew Jacques, the Chief Accountant of the Securities and Exchange Commission (“SEC”), provided a firsthand glimpse into current enforcement objectives for policing accounting and auditor misconduct. Mr. Jacques was a featured panelist at the Securities Docket annual conference at the Mayflower Hotel in Washington, […]
Photos and highlights from Securities Enforcement Forum 2017.
Recent public remarks by Steven Peikin and Stephanie Avakian, Co-Directors of the Division of Enforcement of the U.S. Securities and Exchange Commission, suggest a potential shifting of enforcement priorities and emphasis. In remarks during an October 26, 2017 panel at the Securities Enforcement Forum in Washington, D.C., Co-Director Peikin commented on the “broken windows” approach […]
Photos and highlights from Securities Enforcement Forum 2015.
Photos and highlights from Securities Enforcement Forum West 2015.
U.S. Attorney Preet Bharara and SEC Commissioner Michael Pivovar to deliver Keynotes at SEF 2014!