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 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 May 3, the SEC announced that the Cyber Unit in the Division of Enforcement is renamed the “Crypto Assets and Cyber Unit” and will expand by 20 positions to…Continue Reading SEC Expands and Renames Cyber Unit to “Crypto Assets and Cyber Unit”
On April 5, the Public Company Accounting Oversight Board levied a $100,000 fine against Scott Marcello, the former Vice Chair of Audit at KPMG. The penalty is noteworthy for two…Continue Reading The PCAOB Brings First Failure-To-Supervise Case
On March 16, the SEC filed a municipal bond fraud case against Crosby Independent School District and its former CFO in a $20 million bond offering. Crosby is a…Continue Reading SEC Settles Municipal Bond Fraud Case Against Texas School District and Former CFO, and Suspends External Auditor