Insights Search

The Securities and Exchange Commission’s (the “SEC”) escalating focus on investment advisor compliance is continuing into 2022.

On November 30th Vinson & Elkins’ Craig Seebald, Matt Strock and Lindsey Vaala, along with AlixPartners’ Managing Director Tasneem Chipty, participated in PLI's program.

On March 11, 2021, the U.S. District Court for the Eastern District of New York granted a stay in the civil case brought by the Securities and Exchange Commission (“SEC”) against GPB Capital Holdings, LLC (“GPB Capital”), pending resolution of the parallel Department of Justice (“DOJ”) criminal proceeding against the private-equity firm’s founder and associates.