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Jan 29, 2015

Securities Enforcement 2014 Year-End Review

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Fiscal year 2014 proved to be another eventful and record-breaking year for the Division of Enforcement (Enforcement Division) of the United States Securities and Exchange Commission (SEC or the Commission). Indeed, the Commission recently described the fiscal year that ended in September (i.e., FY2014) as a “very strong year” for enforcement, and by certain measures it certainly was. This description of the SEC’s performance and approach, however, is not without controversy as various aspects of the SEC’s enforcement approach have been criticized in some quarters, including by certain of the SEC’s own commissioners.

View full report, Securities Enforcement 2014 Year-End Review

Authors and Contributors

Stuart J. Baskin

Partner

Litigation

+1 212 848 4974

+1 212 848 4974

New York

Matthew L. Craner

Partner

Litigation

+1 212 848 5255

+1 212 848 5255

New York

Agnès Dunogué

Partner

Litigation

+1 212 848 5257

+1 212 848 5257

New York

Stephen Fishbein

Partner

Litigation

+1 212 848 4424

+1 212 848 4424

New York

Jerome S. Fortinsky

Partner

Litigation

+1 212 848 4900

+1 212 848 4900

New York

Joseph J. Frank

Partner

Litigation

+1 212 848 5254

+1 212 848 5254

New York

Adam Hakki

Partner

Litigation

+1 212 848 4924

+1 212 848 4924

New York

Daniel H.R. Laguardia

Partner

Litigation

+1 415 616 1114

+1 415 616 1114

San Francisco

Christopher L. LaVigne

Partner

Litigation

+1 212 848 4432

+1 212 848 4432

New York

John A. Nathanson

Partner

Litigation

+1 212 848 8611

+1 212 848 8611

New York

Jeffrey J. Resetarits

Partner

Litigation

+1 212 848 7116

+1 212 848 7116

New York

Mark D. Lanpher

Partner

Litigation

+1 202 508 8120

+1 202 508 8120

Washington DC

Philip Urofsky

Partner

Litigation

+1 202 508 8060

+1 202 508 8060

Washington DC

Patrick D. Robbins

Partner

Litigation

+1 415 616 1210

+1 415 616 1210

San Francisco

Brian G. Burke

Partner

Litigation

+1 212 848 7140

+1 212 848 7140

New York

Practices