Legal Articles
SEC v. Stiefel Laboratories, Inc.
“On June 5, 2020 the Court entered an order creating a Fair Fund (the “Fair Fund”), so the…
SEC Obtains Final Judgment Against Investment Advisers Charged with Defrauding Their Advisory Clients
On October 13, 2022, the Securities and Exchange Commission obtained a final judgment against defendants Cetera Advisors, LLC…
SEC Obtains Emergency Relief to Halt Nebraska-Based Ponzi Scheme
The Securities and Exchange Commission today announced that it obtained a temporary asset freeze, restraining order, and other…
The S.E.C. Was Tough on Crypto. It Pulled Back After Trump Returned to Office
Christopher E. Martin was a senior trial counsel at the S.E.C. and led the case against one of…
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