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Searching Content by Julie Bauman from Sheppard Mullin Richter & Hampton ordered by Published Date Descending.
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SEC Enforcement's Annual Report Prioritizes Retail Investors, Cryptocurrency, Cybercrime, And Individual Accountability
In fiscal year 2018, the SEC brought 821 enforcement actions, an approximately 8.8% increase from last year.
United States
3 Dec 2018
2
Supreme Court Deals Blow To SEC By Applying Five-Year Statute Of Limitations To Disgorgement Remedies In SEC Enforcement Actions
On June 5, 2017 the Supreme Court dealt a significant setback to the Securities and Exchange Commission ("SEC") by limiting its power to extract ill-gotten profits from securities laws violators.
United States
10 Jul 2017
3
FINRA Updates Its Sanction Guidelines
Earlier this month, FINRA announced changes to its Sanction Guidelines through Notice to Members 17-13.
United States
3 May 2017
4
Embraer's FCPA Deferred Prosecution Agreement And $205 Million Payment Demonstrate Need For Adequate Internal Controls
Brazilian aircraft manufacturer Embraer SA will pay the United States government $205 million to settle allegations that the company violated the FCPA by paying millions in bribes...
United States
5 Dec 2016
5
Ninth Circuit Severely Limits "Rogue Employee" Exception For Corporations In Securities Fraud Cases
ChinaCast Education Corporation is a postsecondary education service provider in China with shares listed on the NASDAQ stock exchange.
United States
27 Nov 2015
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