Ken Breen, Phara Guberman and McKenna Hunter discuss the recent Supreme Court decision limiting the SEC’s enforcement authority. Read more on how the decision impacts securities fraud cases, the right to a jury trial and more: https://bit.ly/4cL9b0c
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Helpful insights provided below regarding how to cooperate during SEC Investigations/Examinations. #SECExams
Recently, the SEC Director, Division of Enforcement, Gurbir Grewal, spoke at the Securities Enforcement Forum West about the importance of cooperation with the SEC during examinations. SEC officials have spoken previously about the effects of self-reporting and cooperation on penalties levied, and this talk provides actionable content as to what is considered proper cooperation. In this release, we covered the following areas below from his speech. ❓ Why Cooperate? 📝 The Principles of Cooperation 💡 Our Conclusion on the Statements made To learn more about the information we covered above, click the link here: https://lnkd.in/ezsYxjSZ #HowToCooperateDuringSECInvestigations #SECReleases
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In 2022, the Securities and Exchange Commission Division of Enforcement reported an uptick in remediation-related activity. - 760 enforcement actions were filed – a 9% increase year over year - A total of $6.4 billion was ordered – the most on record in SEC history with a 67% increase year over year - $4.1 billion in penalties was ordered by the SEC in fiscal year 2022, a 187% increase year over year Learn more about how we can help reduce regulatory risk and resulting costs https://lnkd.in/eTaMXaw7 #LegalRemediation #VoluntaryRemediation #BBDInsights
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Recently, the SEC Director, Division of Enforcement, Gurbir Grewal, spoke at the Securities Enforcement Forum West about the importance of cooperation with the SEC during examinations. SEC officials have spoken previously about the effects of self-reporting and cooperation on penalties levied, and this talk provides actionable content as to what is considered proper cooperation. In this release, we covered the following areas below from his speech. ❓ Why Cooperate? 📝 The Principles of Cooperation 💡 Our Conclusion on the Statements made To learn more about the information we covered above, click the link here: https://lnkd.in/ezsYxjSZ #HowToCooperateDuringSECInvestigations #SECReleases
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The Securities and Exchange Commission's Division of Enforcement this month launched the Interagency Securities Council (ISC), which invites federal, state, and local regulatory and law enforcement professionals to meet quarterly to discuss the latest in scams, trends, frauds, and mitigation strategies. Read more here: https://lnkd.in/grPz4t-c #SEC #InteragencySecuritiesCouncil #ISC #FraudPrevention #RegulatoryUpdates #Compliance #LawEnforcement #FinancialSecurity #SECFiling #SecurexFilings
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Chief Marketing & Business Development Officer at Bracewell LLP; Adjunct Professor at University of Houston Law Center; Transformation & Firm Operations; Business Development & Media
What are the latest developments in FINRA enforcement, regulation and dispute resolution? Gain insight in the January issue of Bracewell’s FINRA Facts and Trends. #FINRA #enforcement #securities
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Find a summary of one of SCOTUS's latest rulings and a breakdown of its implications in one of our recent client alerts below!
The Supreme Court handed down its decision in SEC v. Jarkesy, holding that the Seventh Amendment entitles defendants to a jury trial in an Article III court when the SEC seeks civil penalties for securities fraud. https://bit.ly/4byn94m Linda Terry Coberly | Jonathan Brightbill | Daniel Tannenbaum Chaudoin | Caitlin Mandel | Brandon Duke | Jeffrey Steinfeld | Brent Winslow | Christina Zaldivar | #SCOTUS #SEC #securitiesfraud
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What are the latest developments in FINRA enforcement, regulation and dispute resolution? Gain insight in the January issue of Bracewell’s FINRA Facts and Trends. #FINRA #enforcement #securities
FINRA Facts and Trends: January 2024
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Here are our thoughts on the implications of the Supreme Court's decision limiting the SEC's ability to obtain penalties in administrative proceedings.
Sandeep Savla, Kevin Harnisch, Tom Delaney, Ian Slingsby and Alexander Newton review the Supreme Court’s decision holding that the Securities and Exchange Commission’s (SEC) practice of seeking civil monetary penalties in securities fraud cases filed in its administrative forum violates the Seventh Amendment of the Constitution. https://ow.ly/ikUM50SsMth
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Check out this discussion of the recent Second Circuit Decision in Binance discussing the evolving landscape to determine which securities fraud claims are extraterritorial or "domestic" by my talented colleagues Andrew Rhys Davies and Jessica Lewis
Andrew Rhys Davies is a brilliant mind when it comes to all things securities and it was an honor to write this article with him for Law360 discussing the landscape defense attorneys navigate in moving to kick securities fraud claims that lack sufficient connection to the U.S. Thanks to Sonia Sujanani and Gian Gualco-Nelson for all their terrific work on this. Link to WilmerHale's expert analysis Binance Ruling Spotlights Muddled Post-Morrison Landscape - Law360 link in the comments. Check it out!
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Take a moment with us as we learn from this year's regulatory actions and fines. Join Tiffany Duncan-Magri for an upcoming webinar with Brian Rubin and Andrew Mount from Eversheds Sutherland to discover how your financial firm can prepare for 2024 by reading between the #fines. Register now below! 👇 #FinServ #RegTech #RegulatoryCompliances
Join our upcoming webinar with Eversheds Sutherland to read between the fines and reflect on 2023's regulatory actions and fines: https://ow.ly/u7Ij50QcJ6z In this webinar, we will discuss: 💵 2023 enforcement themes from the SEC and FINRA 🔮 Predictions for the regulatory landscape in 2024 🔒 Action you can take to protect your firm #SEC #FINRA #RegulatoryCompliance
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