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Securities Litigation and Regulatory Enforcement

Resources for Broker Dealers, Investment Advisers, General Counsel, and Directors & Officers

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Broker Dealer

SEC and DOJ Bring Parallel Actions in $275 Million Ponzi Schemes Involving Water Vending MachinesUpdate to the Qualified Professional Asset Manager Exemption (QPAM)SEC and DOJ Charge Founder and Promoters of “HyperFund” with $1.7 Billion Crypto Pyramid and Ponzi Scheme

General Counsel & D&O

SEC and DOJ Bring Parallel Actions in $275 Million Ponzi Schemes Involving Water Vending MachinesUpdate to the Qualified Professional Asset Manager Exemption (QPAM)SEC and DOJ Charge Founder and Promoters of “HyperFund” with $1.7 Billion Crypto Pyramid and Ponzi Scheme

Investment Adviser

SEC and DOJ Bring Parallel Actions in $275 Million Ponzi Schemes Involving Water Vending MachinesUpdate to the Qualified Professional Asset Manager Exemption (QPAM)SEC and DOJ Charge Founder and Promoters of “HyperFund” with $1.7 Billion Crypto Pyramid and Ponzi Scheme

Uncategorized

SEC Files Subpoena Enforcement Action Against Covington & Burling, Seeking Names of Clients Impacted by Chinese State-Sponsored CyberattackAchieving Diversity and Inclusion within the Securities and Financial Management Industry and its Legal PartnersFraud in the Time of Covid-19

About this Site

The Securities Litigation and Regulatory Enforcement resource website 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.

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