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Jul 31, 2015

Securities Enforcement 2015 Mid-Year Review

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In the first half of 2015, the SEC’s Enforcement Division announced a number of significant enforcement achievements, including settling several important cases, obtaining admissions from settling defendants, and continuing to make substantial whistleblower awards. At the same time, the first half of 2015 has been marked by increasing controversy over the use of administrative proceedings (APs) to litigate enforcement actions. Also, public dissents by certain commissioners suggest significant policy differences within the Commission with respect to, among other things, the granting of so-called bad-actor waivers to large financial institutions that have admitted to conduct that would result in automatic disqualification from certain activities.

View Securities Enforcement 2015 Mid-Year Review (citations omitted)

View Securities Enforcement 2015 Mid-Year Review (with citations)

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

Nathan Greene

Partner

Investment Funds

+1 212 848 4668

+1 212 848 4668

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

Patrick D. Robbins

Partner

Litigation

+1 415 616 1210

+1 415 616 1210

San Francisco

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

Brian G. Burke

Partner

Litigation

+1 212 848 7140

+1 212 848 7140

New York

Brian Calandra

Associate

Litigation

+1 212 848 5220

+1 212 848 5220

New York

Jeff Hoschander

Partner

Litigation

+1 212 848 7181

+1 212 848 7181

New York

Practices