SEC Enforcement

Please see the attached link for our SEC investigation and litigation discussion webinar and please join us for our next webinar on securities litigation:
Continue Reading Fox Rothschild’s Securities Webinar Series Kicks Off with SEC Discussion

We were recently reminded of how difficult it is to re-register for a position in the securities industry after being barred.  See

On February 9, 2021, the United States
Continue Reading Leaving is the Hardest Part Especially if You Want to Re-Enter the Securities Industry

The SEC’s Office of Compliance and Inspections (“OCIE”), recently, issued an alert—more like a shot across the bow—to BDs and RIAs regarding its concerns over activities in the industry concerning
Continue Reading SEC Readying to Hammer BDs and RIAs Over COVID19 Compliance Risks