Last week new enforcement director Gurbir Grewal made his first public remarks at PLI’s SEC Speaks 2021 (October 13, 2021, here). Mr. Grewal is the former Attorney General of New Jersey. He also served in the U.S. Attorney’s Office for …

The New SEC Enforcement Program: Trust & Fairness Read More »

The Division of Enforcement published its 2020 Annual Report on November 2, 2020 (here). The Report contains the now familiar sections: A Message from the Director keyed to highlights; a review and discussion of key areas of interest; a series …

The SEC Enforcement Report: Working Through Adversity Read More »