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Catherine Botticelli

Dechert LLP

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SEC Enforcement Division Releases 2018 Annual Report

USA - November 30 2018 On November 2, 2018, the SEC Enforcement Division (“Division”) released its Annual Report summarizing the past year’s enforcement activity. In the...

Mark D. Perlow, Joseph Fazioli, Eric Auslander, Dennis Lawson.

Supreme Court Holds That SEC’s Administrative Law Judges Were Unconstitutionally Appointed

USA - June 27 2018 The U.S. Supreme Court recently held, in Lucia v. SEC,1 that Administrative Law Judges (ALJs) for the U.S. Securities and Exchange Commission......

Samuel Scarritt-Selman, Michael H. McGinley, Dennis Lawson.

Federal Court Finds “Oral Downloads” to SEC Waived Attorney Work Product Protection

USA - January 9 2018 U.S. Magistrate Judge Jonathan Goodman, in the Southern District of Florida, ruled last month that outside counsel's "oral downloads" of internal...

Jacob Grubman, Michael J. Gilbert, Hrishikesh N. Hari.

SEC Enforcement Division Releases 2017 Annual Report as Industry Looks Ahead to 2018

USA - November 30 2017 Stephanie Avakian and Steven Peikin, the new Co-Directors of the U.S. SEC Enforcement Division ("Division"), released a report on November 15, 2017...

Mark D. Perlow, Joseph Fazioli, Dennis Lawson.

SEC Enforcement Division Priorities Pertaining to Retail Investors and Cybersecurity

USA - November 9 2017 In a keynote speech to the Securities Enforcement Forum on October 26, 2017, U.S. SEC Division of Enforcement (Division) Co-Director Stephanie Avakian...

K. Susan Grafton, Mark D. Perlow, Colleen M. Evans.