Blogs

In a recent development that has caught the attention of the investment community, the U.S. Securities and Exchange Commission (SEC) has issued a settled Order against Prime Group Holdings LLC, a p...

After a law firm fell victim to a cyberattack, the U.S. Securities and Exchange Commission (SEC) issued a subpoena demanding various pieces of information, including the identities of clients poten...

A recent federal court decision granting summary judgment to the Securities and Exchange Commission (SEC) in an unregistered securities dealer enforcement action sent shockwaves through the financi...

Whistleblowers have become increasingly integral to financial regulatory enforcement efforts in recent years. Both the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Com...

A high-profile Freedom of Information Act (FOIA) lawsuit brought by law firm Gibson, Dunn & Crutcher against the Securities and Exchange Commission (SEC) has thrown an intense spotlight on conc...

In a recent address at the Securities Enforcement Forum West Conference, Gurbir Grewal, the Director of the Division of Enforcement for the U.S. Securities and Exchange Commission (SEC), made headl...

The SEC whistleblower program allows individuals to anonymously report potential securities law violations in exchange for financial rewards if their tip leads to successful SEC enforcement actions...

Special Purpose Acquisition Companies (SPACs) experienced a meteoric rise in 2020, serving as a popular vehicle for taking emerging private companies public. However, increased regulatory oversight...

This article delves into the intricacies of the SEC's whistleblower program, its ramifications for corporate entities, and the hurdles that compliance frameworks are currently grappling with.

On May 5, 2023, the U.S. Securities and Exchange Commission (SEC) made an unprecedented move by granting a single whistleblower an award of $279 million. This staggering amount not only marks the l...