From a securities enforcement perspective, one of the most significant aspects of 2010’s Dodd-Frank Act was Section 929P: the authorization for the SEC to seek civil penalties in administrative proceedings. Before, the SEC could seek those penalties only against regulated entities. Now, anyone is fair game, and to get those penalties, the SEC does not… Continue Reading
Tag Archives: Egan-Jones
Friday Weekly Roundup
Posted in SEC LitigationI’d like to try a weekly post with short bits recapping what I think are the most interesting stories or cases from the past week. We’ll see how it works, but for this week: Matt Solomon, an AUSA in the District of Columbia, was recently named Deputy Chief Litigation Counsel in the SEC’s trial unit. … Continue Reading