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Jul 20, 2016

Securities Enforcement: 2016 Mid-Year Review

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The Securities and Exchange Commission instituted over 400 enforcement actions in the first half of 2016 and is on pace to surpass its record of 807 enforcements actions in a single fiscal year, which it set last year. In our 2016 mid-year review, we examine key developments in the SEC’s enforcement program through June 2016, and how those developments will shape the rest of 2016, including:

  • fairness and constitutionality of the SEC’s use of administrative proceedings;
  • continuing debate on cooperation credit;
  • enforcement actions against compliance professionals;
  • SEC’s ability to obtain disgorgement for long past conduct;
  • whistleblower program;
  • SEC’s requirement that defendants admit wrongdoing as a condition of settlements;
  • enforcement actions involving insider trading; and
  • enforcement actions involving the Foreign Corrupt Practices Act, private equity and investment advisers, cybersecurity, accounting and financial disclosures, and broker-dealers

View Securities Enforcement: 2016 Mid-Year Review (citations omitted)

View Securities Enforcement: 2016 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

Joseph J. Frank

Partner

Litigation

+1 212 848 5254

+1 212 848 5254

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

K. Mallory Brennan

Partner

Litigation

+1 212 848 7657

+1 212 848 7657

New York

Brittany Brudnicki

Associate

Litigation

+1 212 848 7290

+1 212 848 7290

New York

Brian Calandra

Associate

Litigation

+1 212 848 5220

+1 212 848 5220

New York

Johnston Chen

Associate

Mergers and Acquisitions

+1 212 848 7391

+1 212 848 7391

New York

Erica Embree

Associate

Litigation

+1 212 848 7300

+1 212 848 7300

New York

Jeffrey D. Hoschander

Partner

Litigation

+1 212 848 7181

+1 212 848 7181

New York

Benjamin Klebanoff

Associate

Litigation

+1 212 848 7316

+1 212 848 7316

New York

Grace J. Lee

Associate

Litigation

+1 212 848 4489

+1 212 848 4489

New York

Alexander J. Lopez

Associate

Litigation

+1 212 848 7353

+1 212 848 7353

New York

Chad Remus

Associate

Litigation

+1 212 848 7492

+1 212 848 7492

New York

Gina Seong

Associate

Mergers and Acquisitions

+1 212 848 7488

+1 212 848 7488

New York

Rebecca Shieh

Associate

Litigation

+1 212 848 7369

+1 212 848 7369

New York

Practices