Blog Archives

This Week In Securities Litigation (For the period Jan. 13 – 27, 2017)

During a two week period divided by the Inauguration, the Commission filed just under 40 actions. Chair Mary Jo White stepped down from her position at the agency after delivering her departing remarks at the New York Economic Club. In

Posted in SECActions Tagged with: , , , , , ,

This Week In Securities Litigation (Week ending January 15, 2016)

The Commission resolved actions with SAC Capital founder Steven Cohen and the former Chairman of Dewey & Leboeuf in addition to filing settled actions against Goldman Sachs and State Street. The agency also filed another insider trading case as an

Posted in SECActions Tagged with: , , , ,

This Week In Securities Litigation (Week ending June 27, 2014)

A review of SEC and securities enforcement actions this week

Posted in SECActions Tagged with: , , , ,

SEC’s First Advisers Act Pay-To-Play Action

The SEC brought its first pay to play action under the Advisers Act

Posted in SECActions Tagged with: , ,

This Week In Securities Litigation (Week ending May 24, 2013)

A review of this week in securities enforcement litigation

Posted in SECActions Tagged with: , , ,

This Week In Securities Litigation (Week ending September 28, 2012)

As the end of the government fiscal year approaches, the Commission filed several significant actions. Two involved Goldman Sachs and a former employee in a pay-to-play scheme centered on political contributions and business in the municipal markets. A significant market

Posted in SECActions Tagged with: , , , , ,