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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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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…

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

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

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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…

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

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

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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…

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

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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…

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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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