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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, Catherine Botticelli.


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, Catherine Botticelli.


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, Catherine Botticelli.


Second Circuit overturns lower court's refusal to approve SEC settlement with Citigroup

USA - June 19 2014 In an eagerly anticipated decision, the U.S. Court of Appeals for the Second Circuit vacated the 2011 decision of Judge Jed S. Rakoff of the U.S...

Catherine Botticelli.


Court holds a Wells Notice does not trigger an automatic disclosure obligation for public companies

USA - July 9 2012 United States District Judge Paul Crotty, sitting in the Southern District of New York, has issued a ruling holding that a public company did not have a duty, upon which a federal securities fraud claim could be based, to disclose the receipt of a Wells Notice from the Securities and Exchange Commission (SEC or Commission)....

Catherine Botticelli, Thomas J. Friedmann, Emily E. Shea.