By Bruce Carton2015-08-22T11:45:00
The SEC is understandably loath to file subpoena enforcement actions. Such actions are basically a waste of time and resources, and involve getting a court to order people to do what they are already required to do. Sometimes, however, the SEC has no choice but to wield the "stick" of ...
2018-05-03T13:00:00Z By Joe Mont
The SEC has filed a subpoena and asked a federal court in the Southern District of New York to order rapper Jay-Z to testify over the acquisition of his Rocawear clothing line by Iconix Brand Group, a $169 million writedown of the brand in 2016, and a reported loss of ...
2025-10-23T20:36:00Z By Jaclyn Jaeger
It has been nearly six months now since the Department of Justice’s (DOJ) Criminal Division released its memorandum on the selection of compliance monitors. This article provides a critical analysis of the monitorships that received early terminations, those that remain in place, and the broader compliance lessons they impart.
2025-10-23T18:57:00Z By Adrianne Appel
A former Wells Fargo risk officer previously ordered to pay $10 million by the Department of the Treasury’s Office of the Comptroller of the Currency (OCC) for her alleged role in the bank’s “fake accounts” scandal is completely off the hook, according to an OCC consent order issued Tuesday.
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