Thomas O Gorman

SEC Actions

Legal Influencer

Q4 | 2021

Legal Influencers

Lexology’s Legal Influencers programme recognises firms and authors that provide excellent content within a work area and region. Find out more

  • Q4 | 2021 in Dispute resolution - Cross-border


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This Week In Securities Litigation (Week of June 20, 2022)

Australia, USA - June 19 2022 The Commission continued to challenge the markets and investors this week. Despite the significant number of proposed new regulations announced this…

Robo Advisers And Conflicts of Interest

USA - June 17 2022 Conflicts of interest are a key issue for investment advisers and others. The Commission has brought a number of actions alleging that investment…

Injecting Transparency & Competition into Equity Markets

USA - June 14 2022 The Commission’s rule writing calendar may be about to have a meltdown. The agency is considering a number of significant rule writing-proposals…

This Week In Securities Litigation (Week of June 13, 2022)

USA - June 12 2022 Two items dominated the news this week. One involves the new crypto asset bill crafted on Capital Hill. That bill proposes a new regulatory path for…

SEC Files Financial Fraud Actions

USA - June 9 2022 Many of the financial fraud actions filed by the Commission are based on restatements of the financial statements. Under those circumstances the…