On September 16, 2024, the United States Securities and Exchange Commission (“SEC” or the “Commission”) brought charges against Kubient, Inc.’s (“Kubient”) former chairman and chief executive officer (“CEO”) for allegedly...more
9/27/2024
/ Artificial Intelligence ,
Audit Committee ,
CFOs ,
Corporate Counsel ,
Enforcement Actions ,
Fraud ,
Misrepresentation ,
Offerings ,
Personal Liability ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Securities Violations ,
Software ,
Stocks
Another Southern District of New York (“SDNY”) court has sided with the Securities and Exchange Commission (“SEC”) in its enforcement campaign against the unregistered sale of cryptocurrency assets. On March 27, 2024, in SEC...more
Sarah Morgan, M&A and Capital Markets partner, and Rebecca Fike, Securities Litigation and Government Investigations partner will give a look back at the first half of 2023 through SEC Enforcement actions, public speeches,...more
8/25/2023
/ Best Practices ,
Continuing Legal Education ,
Enforcement Actions ,
Enforcement Priorities ,
Events ,
Investigations ,
Policy Statement ,
Proposed Rules ,
Publicly-Traded Companies ,
Rulemaking Process ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Securities Violations
On July 31, 2023, Judge Jed Rakoff of the Southern District of New York (“SDNY”) sided with the Securities Exchange Commission in SEC v. Terraform Labs Pte. Ltd. by holding that sales of crypto assets to retail investors on...more
The Securities and Exchange Commission (“SEC”) will soon have the tools necessary to enforce its longstanding rules regarding share repurchases. On May 3, 2023, the SEC adopted new rules to “modernize” its repurchase...more
After spending 10 years in the Division of Enforcement at the Fort Worth Regional Office of the Securities and Exchange Commission, Rebecca Fike gained a rare view into what many describe as one of the government’s most...more