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Supreme Court Applies Statute of Limitations to SEC Disgorgement Orders

USA - June 7 2017 In a unanimous decision issued on June 5, 2017, the U.S. Supreme Court, in Kokesh v. SEC, 581 U.S. ___, held that disgorgement in securities...

Joshua A. Ellis, David Meister, Colleen P. Mahoney, Andrew M. Lawrence, Charles F. Walker, Cory C. Black.


SEC Charges Private Equity Fund Adviser as an Unregistered Broker

USA - June 16 2016 On June 1, 2016, the Securities and Exchange Commission (the "SEC") accepted a settlement offer from a registered investment adviser of private...

Lauren P. Heller, Anastasia T. Rockas, Heather Cruz.


SEC focus results in investment adviser fee and expense changes

USA - January 22 2015 Recent efforts by the Securities and Exchange Commission (SEC) to bring concentrated regulatory attention to investment managers sharpened over the...

John R. Stewart, Anastasia T. Rockas.


Aggressive SEC enforcement approach creates new challenges for resolving investigations

USA - January 21 2015 The U.S. Securities and Exchange Commission (SEC) pursued aggressive enforcement of the securities laws in the past year. Several trends related to...

Andrew M. Lawrence, Cory C. Black.