The Securities Litigation and Regulatory Enforcement resource Web site provides legal news, trends, and insights into navigating the complexities of the Securities Exchange Commission (SEC), U.S. Department of Justice (DOJ), Financial Industry Regulatory Authority (FINRA), Texas State Securities Board, and other state securities regulators. This is a go-to resource for broker dealers (BDs), investment advisers (IAs), general counsel (GCs) and directors and officers (D&Os) throughout Texas and across the nation. Learn more
Toby Galloway is Co-Chair of Winstead’s Securities Litigation & Enforcement Practice Group. He also practices in the areas of white-collar defense, governmental & internal investigations… Read More
Matthias Kleinsasser is a seasoned litigator with experience in federal district court, bankruptcy court, and Texas state court. He regularly represents officers, directors, and other clients involved in private securities litigation, as well as in investigations brought by regulatory agencies. Read More.
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On April 1, 2021, the Texas State Securities Board (TSSB) announced the entry of a Consent Order against an SEC registered investment adviser named Independent Financial Group, LLC (“Independent”). The…Continue Reading SEC Investment Advisers: Texas says “April Fools!” to Federal Preemption?
Capital raising through Special-Purpose Acquisition Companies (“SPACs”) has gone through the roof in the last two years. Last year was by far the single highest deal value for SPACs, and…Continue Reading SPACs in the Spotlight: Skyrocketing Deal Volume Invites Regulatory Scrutiny
As we discussed in our recent post “What to Expect from the SEC Under the Biden Administration,” market participants can expect a more vigorous SEC enforcement program under…Continue Reading What Investment Advisers and Fund Managers can Expect from the SEC Under the Biden Administration