Skip to content

Insights Search

17 Results
The V&E Report
The V&E Report

A recurring question of general counsel and chief compliance officers is whether their proactive investments in compliance programs, voluntary self-disclosure of issues, and cooperation will be meaningfully rewarded.

The V&E Report

August 13, 2020
The V&E Report
The V&E Report

The SEC’s authority to seek disgorgement has been a spotlight issue for the last several years, and on June 22, 2020, the Supreme Court delivered a highly anticipated ruling that will have a mixed impact.

V&E Government Investigations Update

The V&E Report

June 25, 2020
Coronavirus: Preparation & Response
Coronavirus: Preparation & Response

In early June, federal agencies brought some of the first enforcement actions against COVID-19 securities fraudsters, involving over $100 million in fraudulent claims and profits, making good on their promise to investigate and prosecute those seeking to fraudulently capitalize on the COVID-19 crisis.

Coronavirus: Preparation & Response

The V&E Report

June 18, 2020
Coronavirus: Preparation & Response
Coronavirus: Preparation & Response

As COVID-19 continues to claim lives and disrupt the global economy, the U.S. Securities and Exchange Commission (the “SEC”) has begun taking a number of actions to protect investors from COVID-19-related frauds.

Coronavirus: Preparation & Response

The V&E Report

May 6, 2020
Coronavirus: Preparation & Response
Coronavirus: Preparation & Response

The SEC’s Enforcement Division recently issued a statement emphasizing the “importance of maintaining market integrity and following corporate controls” during the stock market volatility caused by the COVID-19 outbreak.1

Coronavirus: Preparation & Response

The V&E Report

April 8, 2020
The V&E Report
The V&E Report

Last week on November 6, 2019, the SEC Enforcement Division released its annual report on the Commission’s enforcement activities for the fiscal year.

The V&E Report

November 13, 2019
The V&E Report
The V&E Report

In a significant departure from previous practice, the Department of Justice (“DOJ”) imposed a corporate monitor on a company even after it engaged in extensive remedial measures and enhanced its…

Published in Law360, June 24, 2019

The V&E Report

June 21, 2019
The V&E Report
The V&E Report

On May 9, 2019, SEC Commissioner Hester M. Peirce delivered a speech via video conference to the Securities Enforcement Forum lamenting the Commission’s failure to develop meaningful regulation in…

The V&E Report

May 15, 2019
The V&E Report
The V&E Report

A recent decision by a district judge in the Southern District of New York demonstrates that when a company’s outside counsel conducts an investigation in connection with a government investigation…

The V&E Report

May 9, 2019
The V&E Report
The V&E Report

P. T. Barnum is credited as saying “There is no such thing as bad publicity.” That may be true in running a circus, but it is demonstrably untrue in running a public company.

The V&E Report

April 11, 2019
The V&E Report
The V&E Report

In 2017, the SEC’s enforcement power faced a setback when, in Kokesh v. SEC , 1 the Supreme Court curtailed its ability to seek disgorgement outside the five-year statute of limitations period for…

The V&E Report

April 10, 2019
The V&E Report
The V&E Report

The Supreme Court has now made clear that a person can be held liable for disseminating false or misleading statements with the intent to defraud, under SEC Rules 10b-5(a) and (c) even if the person…

The V&E Report

April 4, 2019