Articles

Results 1 to 5 of 58
Most popular |Most recent


SEC Announces $110 Million Award to Whistleblower and $1.1 Billion in Total Awards to 214 Individuals Since 2012

USA - October 12 2021 On September 15, 2021, the SEC announced an award of $110 million to a whistleblower, the second highest award in program history following the $114…

Roman E. Darmer, Thomas R. Chiavetta Jr. (TOM), Karen P. Hewitt, Henry Klehm III, Samir Kaushik.

SEC Enforcement in Financial Reporting and Disclosure: Summer 2021 Update

USA - September 15 2021 We are pleased to present our latest update on financial reporting and issuer disclosure enforcement activity. This White Paper primarily focuses on…

Jules H. Cantor, Henry Klehm III.

SEC Chairman Signals Intensified Enforcement and Regulatory Scrutiny of Crypto and DeFi

USA - August 11 2021 SEC Chairman Gary Gensler suggests SEC will aggressively police crypto assets and decentralized finance ("DeFi") platforms while seeking expanded…

Henry Klehm III, Sarah L. Levine, Brian C. Rabbitt, Mark W. Rasmussen, Howard F. Sidman.

SPAC Founders, Beware: SEC Targets Founders Shares

USA - July 22 2021 The Securities and Exchange Commission ("SEC") charges a special purpose acquisition company ("SPAC"), its CEO, and sponsor, as well as the merger…

Ryan J. Andreoli, Bradley C. Brasser, Henry Klehm III, Joel T. May, Joshua S. Roseman.

SEC Threatens to Slap SPACs

USA - May 12 2021 The use of SPACs has reached unprecedented levels, but recent pronouncements from the SEC may signal heightened enforcement and litigation risk for…

James E. O'Bannon, Henry Klehm III, Joshua S. Roseman, Evan P. Singer, Peter C. Zwick.