Category: SECActions

Introduction The theme for the first quarter of 2021 might be “Acting.” With the change in administration looming, Chairman Clayton resigned at the end of 2020. Prior to the end of the first quarter much of the senior staff at …

SEC Enforcement: A Review of 1Q21 — Part I Read More »

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Newly installed Enforcement Director Alex Oh resigned this week. The SEC press release stated that the resignation was prompted by personal reasons. Media reports suggest that Ms. Oh resigned in the wake of a discovery dispute in a large case …

This Week In Securities Litigation (Week of May 3, 2021) Read More »

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