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TOM’S PRACTICE FOCUSES ON DEFENDING SEC, CFTC AND OTHER REGULATORY INVESTIGATIONS AND ACTIONS INCLUDING RELATED DOJ CRIMINAL CASES. Tom has defended…
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SEC Actions | Australia, USA | 19 Jun 2022

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

The Commission continued to challenge the markets and investors this week. Despite the significant number of proposed new regulations announced this…
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SEC Actions | USA | 17 Jun 2022

Robo Advisers And Conflicts of Interest

Conflicts of interest are a key issue for investment advisers and others. The Commission has brought a number of actions alleging that investment…
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SEC Actions | USA | 14 Jun 2022

Injecting Transparency & Competition into Equity Markets

The Commission’s rule writing calendar may be about to have a meltdown. The agency is considering a number of significant rule writing-proposals…
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SEC Actions | USA | 12 Jun 2022

This Week In Securities Litigation (Week of June 13, 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…
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SEC Actions | USA | 9 Jun 2022

SEC Files Financial Fraud Actions

Many of the financial fraud actions filed by the Commission are based on restatements of the financial statements. Under those circumstances the…
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SEC Actions | USA | 7 Jun 2022

The SEC and ESG

Climate and ESG have become key topics of conversation at the SEC. The Commission’s publication of proposed rules for public companies which would…
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SEC Actions | European Union, USA | 6 Jun 2022

This Week In Securities Litigation (Week of June 6, 2022)

The Commission continues to focus on the environment. Last week the agency added another proposed set of rules. This time the proposals do focus on…
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SEC Actions | USA | 2 Jun 2022

SEC Charges Grocery Chain, CEO with Accounting Fraud

The Commission has long focused on cases involving corporate and financial fraud. While other cases, such as insider trading or large market…
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SEC Actions | USA | 30 May 2022

This Week In Securities Litigation (Week of May 30, 2022)

As we emerge from the holiday weekend, climate and ESG continue to be key topics. Last week the agency filed an enforcement action against a major…
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SEC Actions | USA | 26 May 2022

Commission Files Another Ponzi Scheme Action

For years investors have entrusted their capital to a person who failed to invest it, did not try to invest it, or make a profit other than for…
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