By
Aaron Nicodemus2024-10-03T13:00:00
Gurbir Grewal, director of the Securities and Exchange Commission’s Division of Enforcement, will step down from his post Oct. 11. Grewal, who had served as the division’s director since 2021, will be replaced by Sanjay Wadhwa, currently the division’s deputy director, the SEC said Wednesday.
Wadhwa will serve as the enforcement division’s acting director, while Sam Waldon, the division’s chief counsel, will serve as acting deputy director.
Before being named director of the Division of Enforcement in August 2021, Grewal had served as New Jersey Attorney General from Jan. 2018 through June 2021. He had also served as a state and federal prosecutor, and an attorney in private practice.
2024-11-25T18:30:00Z By Aaron Nicodemus
Change is likely coming to the Securities and Exchange Commission’s enforcement priorities with the pending handover of the White House to Republican President-elect Donald Trump. Adjust your compliance priorities accordingly.
2024-10-28T21:51:00Z By CW Staff
Gurbir Grewal, who recently left the Securities and Exchange Commission after three years as head of its Division of Enforcement, has joined the law firm Milbank as a partner in its New York office.
2024-05-30T16:13:00Z By Kyle Brasseur
Gurbir Grewal, director of the Enforcement Division at the Securities and Exchange Commission, spelled out plainly his view on the best path to earning cooperation credit during settlement negotiations with the agency.
2025-11-07T22:18:00Z By Adrianne Appel
First Trust Portfolios has been fined $10 million by FINRA for allegedly providing excessive meals, gifts, and other incentives to broker-dealers.
2025-11-06T19:01:00Z By Adrianne Appel
Four U.S. citizens were arrested in California Wednesday in connection with a massive, $346 million international credit card fraud scheme based in Germany, in which compliance officers were allegedly complicit, according to the DOJ.
2025-11-05T18:35:00Z By Oscar Gonzalez
Approximately $9 billion of potential shadow-banking flows tied to Iranian networks in 2024, according to a new analysis from FinCEN. The report highlights how illicit funds are making their way through financial institutions as they meet the requirements of the Bank Secrecy Act (BSA).
Site powered by Webvision Cloud