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SEC Actions logo
TOM’S PRACTICE FOCUSES ON DEFENDING SEC, CFTC AND OTHER REGULATORY INVESTIGATIONS AND ACTIONS INCLUDING RELATED DOJ CRIMINAL CASES. Tom has defended…
Article

SEC Actions | Australia, Hong Kong | 28 Feb 2021

This Week In Securities Litigation (Week of March 1, 2021)

Later this year the United Nations will its Climate Change Conference. The event, to be held in November, was originally scheduled for last fall but…
Article

SEC Actions | USA | 25 Feb 2021

SEC Acting Chair Directs Study of Climate Change

Acting Chair Allison Herren Lee directed the staff of the Division of Corporation Finance to “enhance its focus on climate-related disclosure in…
Article

SEC Actions | USA | 24 Feb 2021

Nasdaq Rebuked by GOP Senators for Board Diversity Requirements

Nasdaq filed a proposal with the Securities and Exchange Commission on December 1, 2020 to modify its listing standards to embrace diversity (here)…
Article

SEC Actions | Global | 22 Feb 2021

Climate Change, A Key Issue For World Regulators

Climate change is an often talked about issue. Some firmly believe in it; others do not. Regardless of your view, there is a significant quantum of…
Article

SEC Actions | Australia, Hong Kong, Singapore, etc. | 21 Feb 2021

This Week In Securities Litigation (Week of Feb. 22, 2021)

GameStop continued to be the topic de jure last week with hearings on Capitol Hill before a Congressional Committee. The key players were present…
Article

SEC Actions | USA | 18 Feb 2021

SEC - Morningstar Litigate Validity of its Ratings Process

Seldom does the Commission litigate with a major business entity. Conventional wisdom says that the cost in terms of executive time, the distraction…
Article

SEC Actions | USA | 15 Feb 2021

This Week In Securities Litigation (Week of Feb. 16, 2021)

The more things change, the more they sometimes seem to stay the same. Take obtaining a formal order of investigation. For much of time the…
Article

SEC Actions | USA | 11 Feb 2021

Investment Advisors in the Cross-Sights

Investment advisers have become a primary focus of Commission enforcement actions in recent years. The trend began several years ago and continues…
Article

SEC Actions | USA | 8 Feb 2021

The Deal Target Got Away; the Trading Executive Did Not

Insider trading has long been a key focus of the Commission’s enforcement program. In recent months interest seems to have shifted to offering fraud…
Article

SEC Actions | USA | 7 Feb 2021

This Week In Securities Litigation (Week of Feb. 7, 2021)

Kelly Gibson was named Acting Deputy Director, Division of Enforcement last week. Ms. Gibson has served as a member of the staff for 13 years…
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