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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 counsels (GCs) and directors and officers (D&Os) throughout Texas and across the nation. Learn more

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General Counsel & D&O

Freight Company Charged with Truckload of Accounting Fraud

Celadon Group Inc. announced a settlement with the SEC and the DOJ over allegations of accounting fraud.[1] The company agreed to pay restitution of over $42 million in connection

Broker Dealer, General Counsel & D&O, Investment Adviser

Janus Meets Its Maker: The Supreme Court Expands Primary Liability in Lorenzo v. SEC

Securities litigation frequently raises the question of what conduct constitutes a primary violation of the federal securities laws, specifically, Rule 10b-5 and the various other antifraud provisions. Must one make

Broker Dealer, Investment Adviser

You WILL (not May) Face the Heat

The Securities and Exchange Commission (SEC) recently announced other notable examples of the scrutiny being applied to investment advisers’ disclosures of conflicts of interest. The criticism is notably sharp on

Securities Litigation and Regulatory Enforcement

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Freight Company Charged with Truckload of Accounting Fraud

Janus Meets Its Maker: The Supreme Court Expands Primary Liability in Lorenzo v. SEC

You WILL (not May) Face the Heat

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