About Us

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

Our Team

Papers,With,Financial,Data,On,Office,Table — Papers with financial data on office table

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

SEC and DOJ Bring Parallel Cases Alleging $8 Million Serial Insider-Trading Scheme

Today the SEC [1] and the DOJ [2] announced civil and criminal charges involving an alleged brazen $8 million insider-trading scheme. The trader, Dayakar Mallu, allegedly traded ahead of four…

Investment Adviser

SEC Increases Financial Thresholds for Qualified Clients

On August 16, 2021, the financial thresholds specified in the definition of “qualified client” under Rule 205‑3 of the Investment Advisers Act of 1940 (“Advisers Act”) will increase (i) from…

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

SEC Brings Significant SPAC Enforcement Action

On July 13, the SEC announced charges against an array of participants in a de-SPAC transaction.[1] Among those charged are the SPAC, the SPAC’s sponsor, the SPAC’s CEO, the…

Menu

Securities Litigation and Regulatory Enforcement

About Us

Our Team

Subscribe

Blog Posts

SEC and DOJ Bring Parallel Cases Alleging $8 Million Serial Insider-Trading Scheme

SEC Increases Financial Thresholds for Qualified Clients

SEC Brings Significant SPAC Enforcement Action

About Winstead