All Wells Notice articles
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ArticleWith approach to Coinbase, SEC shows its hand on cryptocurrency
By reacting to Coinbase’s now-scrapped Lend program proposal with a Wells Notice, the SEC sent a message that cryptocurrency companies should not expect the agency to bend to their will.
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Article
GE reserves $100M for potential SEC accounting enforcement
General Electric has set aside $100 million relating to a potential SEC enforcement action that could encompass several areas of alleged accounting failures.
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Article
U.S. agencies get nod for using data, smart incentives in enforcement
Both the CFTC and CFPB “Nailed It” this week while corporate heavyweight General Electric found itself in more trouble.
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Article
GE facing potential SEC action over accounting issues
General Electric revealed in a regulatory filing that it is facing a civil injunctive action from the Securities and Exchange Commission regarding accounting issues tied to its legacy insurance portfolio.
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Article
Under Armour facing potential SEC enforcement over accounting practices
Under Armour revealed in a regulatory filing that its accounting practices are the subject of a pending enforcement action by the Securities and Exchange Commission.
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Blog post
Best practices from SEC enforcement official on Wells meeting communication
Prudent defense counsel will want to heed the advice of SEC Co-Director of the Division of Enforcement Steven Peikin, who discussed in broad detail what best-practice techniques make for productive and effective communication with SEC staff during Wells meetings.
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Blog post
SEC Issues Wells Notice to Magnum Hunter
Magnum Hunter Resources has received a Wells Notice for potential material weaknesses in the company’s internal control over financial reporting. The oil and gas producer said it intends to respond in the form of a Wells submission, setting forth why it believes an enforcement action against it is not warranted. ...
