Month: November 2019

The Division of Enforcement, by any measure, had a successful year despite facing significant headwinds, according to its FY 2019 Annual Report. Success stems from a variety of factors, not just the number of cases or the amounts of money …

SEC Enforcement Division Reports on FY 2019 Read More »

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The Supreme Court granted certiorari in a case that may well have a very significant impact on the remedies available in Commission enforcement actions: Liu v. Securities and Exchange Commission, No. 18-1501 (Cert. granted Nov. 1, 2019). The question the …

Remedies in SEC Enforcement Actions: The End of Disgorgement? Read More »

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