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Within the past two months, the U.S. Securities and Exchange Commission has charged the city of Harrisburg, PA; the state of Illinois; and the city of Victorville, CA, with securities fraud.

A former scientist at a California-based biotech company agreed to settle SEC insider trading charges.

The SEC charged the former CEO and president of a Nasdaq-traded security technology company and charged three other individuals in a fraudulent broker bribery scheme.

The SEC charged two brokers with fraud for allegedly recommending unsuitable, high-cost trading strategies to customers in order to generate significant commission fees.

The SEC charged a former managing director/fixed-income analyst (the "analyst") at a broker-dealer with aiding and abetting a pay-to-play scheme involving the New York State Common Retirement Fund (the "Fund").

The former town attorney and deputy supervisor of Oyster Bay, Long Island, Leonard Genova, agreed to a permanent injunction from participating in any future municipal securities offerings.

The SEC charged a Long Island town and its former supervisor with defrauding investors in connection with municipal securities offerings.

The SEC charged a Connecticut man with fraud for misleading people, several of whom were women he met through an online dating website, into investing over $2.3 million in his company...

The SEC charged two New Jersey-based traders with engaging in a fraudulent market manipulation scheme by artificially influencing market prices in more than two thousand NYSE- and NASDAQ-traded stocks.

The SEC reported that it filed 868 enforcement actions in fiscal year 2016, with a material increase in charges of financial misconduct related to investment companies, investment advisers, and the FCPA.

On February 20, 2015, the Securities and Exchange Commission (SEC) held its annual SEC Speaks conference, which updated the public regarding the staff’s work over the last year and its plans for 2015.

On August 30, the United States Court of Appeals for the Second Circuit handed down its decision in United States v. Vilar, which unequivocally limits the U.S. government’s ability to use Section 10(b) of the Securities Exchange Act of 1934 in criminal prosecutions involving extraterritorial conduct. No. 10-521-CR.

I wrote an article over 12 years ago titled Who Cares What SCOTUS Says On Securities Fraud? I was reminded of that article when reading the Second Circuit's recent decision in SEC v. Rio Tinto PLC, et al.

Timothy Perry, a former assistant US attorney now at WilmerHale, examines the dynamics of negotiating with the DoJ when investigations reach into China.

This is the second of four articles examining the scope of the Seventh Amendment jury trial right for civil defendants in U.S. Securities and Exchange Commission enforcement actions.

The Supreme Court's Decision in Goldman Sachs Confirms Courts Must Consider All Relevant "Price Impact" Evidence When Addressing Class Certification in Federal Securities Fraud Class Actions.

A Seattle-based therapist, Kenneth Peer, agreed to settle SEC charges of insider trading based on information he obtained from a patient during a confidential counseling session.