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Under Advisement: SEC Scrutinizes Wealth Management Industry

USA - March 21 2018 Recent events have made it clear that there is an increased regulatory focus on the conduct of investment professionals in the wealth-management...

Kendra Wharton, Kyle DeYoung, Dorothy D Mehta, Jason M. Halper.


SCOTUS Blows the Whistle: Internal Whistleblowers Take Note

USA - February 22 2018 A whistleblower is not a whistleblower unless he reports suspected securities law violations to the SEC. And, if the whistleblower does not report...

Kendra Wharton, Kyle DeYoung, Jodi L. Avergun.


Wild West No Longer: The SEC Brings Enforcement Actions Against Two Initial Coin Offerings

USA - October 12 2017 Ending months of speculation about when regulators would wade into the world of Bitcoin and other digital currencies, the U.S. Securities and Exchange...

Joseph V. Moreno, John Moehringer, Kyle DeYoung, Jeffrey Robins.


AG Sessions Sends Mixed Messages on Health Care Fraud

USA - July 27 2017 In early July, and with little fanfare, Attorney General Jeff Sessions and the Department of Justice (DOJ) all but gutted the Health Care Corporate...

J. Robert Duncan, Stephen Weiss.


Financial CHOICE Act Would Complicate the Choices in Bringing and Defending Against SEC Cases

USA - June 12 2017 Legislation passed by the U.S. House of Representatives threatens to shake up the Securities and Exchange Commission’s enforcement program in a...

Aaron Buchman, Joseph V. Moreno, Kendra Wharton, Jodi L. Avergun, Jason M. Halper.