The Law of the Financial Markets from Top Securities Lawyers
Sunday, April 28, 2024
A flurry of whistleblower awards are coming out of the SEC. Yesterday it announced an award of approximately $2 million to a whistleblower who, according to the Commission “provided vital information and assistance that substantially contributed to an ongoing investigation. The whistleblower’s information would have been difficult for the agency […]
The SEC whistleblower program has generated significant awards to individuals who provide original information that leads to successful SEC enforcement actions with total monetary sanctions exceeding $1 million. The program has resulted in more than $2 billion in financial penalties, and awards in excess of $300 million. The SEC just […]
The SEC is expected to present the largest whistleblower award in its history – possibly $70.6 million or more to be shared by two whistleblowers in a case involving a former adviser at JPMorgan Chase – according to a SEC letter released by one of the whistleblowers. The award results […]
Washington D.C., Jan. 16, 2024 – The Securities and Exchange Commission (SEC) has taken action against J.P. Morgan Securities LLC for their alleged hindrance of clients from reporting potential securities law violations. SEC Charges J.P. Morgan The SEC has officially charged J.P. Morgan with impeding numerous advisory clients and brokerage […]
Defending an SEC Investigaton Facing an SEC investigation can be a daunting challenge for any individual or organization and defending an SEC investigation takes experience and knowledge. The SEC is a formidable regulatory body with the authority to scrutinize financial activities, and being prepared for such an inquiry is crucial. […]
A Recap of Fiscal Year 2023 Enforcement Actions The Securities and Exchange Commission (SEC) has continued its enforcement actions, announcing a total of 784 enforcement actions during fiscal year 2023. Here are the securities litigation enforcement highlights from the SEC for the past year. Diverse Enforcement Landscape Stand-Alone Actions Surge […]
Introduction SEC Investigations, and ultimately SEC enforcement proceedings, can be disruptive, and devastating events for individuals and corporations. Next to hiring an experienced securities defense attorney, knowing what to expect during the investigation will help you achieve your desired result. As former SEC Staff Attorneys, and Securities Defense Attorneys, the attorneys […]
How you respond to an SEC subpoena makes a difference. Tips from an experienced securities attorney.
Illegal insider trading is a serious securities law violation that carries potential civil and criminal penalties. Civilly, the penalties can be as large as three times the gross profit on the trading. An insider trading investigation by the SEC requires experienced securities counsel, as the initial investigation often dictates the […]
