The Law of the Financial Markets from Top Securities Lawyers
Tuesday, February 10, 2026
The Securities and Exchange Commission (SEC) unveiled its enforcement results for fiscal year 2024, achieving historic financial remedies of $8.2 billion while filing 583 enforcement actions. While the release has tones of a self-promoting puff piece, here is a summary of what the SEC claims it has accomplished in 2024 […]
The Securities and Exchange Commission today announced that its 33rd Chair, Gary Gensler, will step down from the Commission effective at 12:00 pm on January 20, 2025. Chair Gensler began his tenure on April 17, 2021, in the immediate aftermath of the… SEC Press Release
The Securities and Exchange Commission today charged David Kushner, a resident of Boca Raton, Florida, and his company La Mancha Funding Corp. with defrauding nearly two dozen investors out of approximately $2.1 million in a series of private securities… SEC Press Release
The Securities and Exchange Commission today charged Gautam Adani and Sagar Adani, executives of Adani Green Energy Ltd., and Cyril Cabanes, an executive of Azure Power Global Ltd., for conduct arising out of a massive bribery scheme. According to the… SEC Press Release
The Securities and Exchange Commission today announced that BIT Mining Ltd., formerly known as 500.com Limited, agreed to pay a $4 million civil penalty to resolve charges that it violated the Foreign Corrupt Practices Act (FCPA) from 2017 to 2019 by… SEC Press Release
In a recent enforcement action, the U.S. Securities and Exchange Commission (SEC) penalized Invesco Advisers, Inc., accusing the investment management firm of making deceptive claims regarding the percentage of its assets under management (AUM) that incorporated environmental, social, and governance (ESG) factors. This Atlanta-based investment adviser agreed to a $17.5 […]
Oct. 31, 2024 — The Securities and Exchange Commission today charged J.P. Morgan Securities LLC (JPMS) and J.P. Morgan Investment Management Inc. (JPMIM) – both affiliates of JPMorgan Chase & Co. (JP Morgan) – in five separate enforcement actions for failures including misleading disclosures to investors, breach of fiduciary duty, […]
The Securities and Exchange Commission today announced four new members of the Small Business Capital Formation Advisory Committee. The new members were appointed to four-year terms and will join the 14 current Commission-appointed committee members. “I… SEC Press Release
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee today released the agenda for its meeting on Wednesday, Nov. 13, 2024. The meeting will include a discussion of how venture capital fund managers are raising… SEC Press Release
The Securities and Exchange Commission today adopted rule amendments and a new rule to improve the resilience and recovery and wind-down planning of covered clearing agencies. The rule amendments establish new requirements regarding a covered clearing… SEC Press Release
