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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…
SEC Actions | Hong Kong, USA | 18 Sep 2023
This Week In Securities Litigation (Week of September 18, 2023)
The Commission filed seventeen new cases last week. Those included 9 stemming from a sweep regarding the application of the new Marketing Rule. That…
SEC Actions | USA | 15 Sep 2023
Crypto Assets Tied to Webcast Show Are Securities
Crypto assets such as Bitcoin are purchased and sold each day. The assets are frequently in the form of a coin and may be attached to a blockchain…
SEC Actions | USA | 13 Sep 2023
Commission Sanctions 9 Advisors Based on Marketing Rule
Marketing is frequently a key element for a business. It gives the company an opportunity to showcase its products to those who might be interested…
SEC Actions | Australia, European Union, Hong Kong, etc. | 11 Sep 2023
This Week In Securities Litigation (Week of September 11, 2023)
We begin this week with a day of remembrance. September 11 will always be a special day and one to remember all those who died, were injured, and…
SEC Actions | USA | 29 Aug 2023
Commission Files Another Free Riding Case
Free riding is often, but not always, a profitable but prohibited endeavor for traders. The practice is based on defrauding brokers by opening an…
SEC Actions | Hong Kong, USA | 28 Aug 2023
This Week In Securities Litigation (Week of August 28, 2023)
Summer is heading for its traditional close at Labor Day as many have either returned to school or are finalizing their plans. The Commission…
SEC Actions | USA | 25 Aug 2023
Trends In SEC Enforcement 1Q23, Conclusion
This is the concluding segment of a four-part series on trends in SEC Enforcement during the first quarter of 2023. The first part of the series was…
SEC Actions | USA | 23 Aug 2023
Trends in SEC Enforcement: 1Q23, Part III
This is the third segment of a four part series on trends in SEC Enforcement during the first quarter of 2023. The first part of the series was…
SEC Actions | USA | 20 Aug 2023
This Week In Securities Litigation (Week of August 21, 2023)
The pace of filing new enforcement cases slowed to a drizzle last week. Only two new actions were filed. Perhaps it was the approach the end of…
SEC Actions | USA | 18 Aug 2023
Trends in SEC Enforcement: 1Q23, Part II
This is the second part of a series focused on the cases filed by the SEC during the first quarter of 2023. The first segment was published on…
