All enforcement action articles

  • Blog

    SEC enforcements against accountants taper, report says


    SEC enforcement actions against accountants have tapered off the past few years, according to a new analysis, while PCAOB actions jumped and remained high.

  • Blog

    CFTC releases annual enforcement results for FY 2017


    The Commodity Futures Trading Commission brought 49 enforcement-related actions in the fiscal year that ended Sept. 30, 2017, including significant actions to root out manipulation and spoofing and to protect retail investors from fraud, according to the agency’s enforcement results for FY 2017.

  • Blog

    SEC makes an example of Alere


    A recent enforcement action against a medical manufacturer for revenue recognition failures and bribery illustrates some interesting new enforcement trends for the SEC.