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Securities Enforcement
Keep up with the latest legal and industry insights, news, and events from MoFo
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Michael D. Birnbaum
Partner
Haimavathi V. Marlier
Partner
Craig D. Martin
Partner
Michael D. Birnbaum
Partner
Haimavathi V. Marlier
Partner
Craig D. Martin
Partner
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Full Disclosure Resource Center
Related Practices
Broker-Dealer Compliance + Regulation
Capital Markets
False Claims Act
FCPA + Global Anti-Corruption
Lending + Financial Transactions
Health Care Fraud
Investigations + White Collar Defense
IPOs
Securities Litigation
State + Local Government Enforcement
Insights
Insights
Client Alert
The End of SEC Administrative Proceedings? The Supreme Court’s Jarkesy Decision Prohibits the Agency’s Use of ALJs in Enforcement Actions Seeking Civil Penalties
01 Jul 2024
Client Alert
Top 5 SEC Enforcement Developments for May 2024
28 Jun 2024
Client Alert
Takeaways for In-House Counsel from DOJ’s First Insider Trading Trial Involving a Rule 10b5-1 Plan
27 Jun 2024
Client Alert
The SEC’s Controls-Based Approach to Cybersecurity Enforcement Continues, with an Accounting Twist
25 Jun 2024
Client Alert
Top 10 International Anti-Corruption Developments for May 2024
18 Jun 2024
Article
The Risk in Disclosing Risk Factors
May 2024
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News
News
In The News
Carbon Credits Draw Fresh Attention Under SEC’s New Climate Rules
27 Mar 2024
In The News
SEC's 'Shadow Trading' Trial To Test Insider Info Boundaries
22 Mar 2024
In The News
DOJ Official Teases Harsher Penalties for AI-related Crimes
08 Mar 2024
In The News
DOJ’s Healthcare Probes of AI Tools Rooted in Purdue Pharma Case
29 Jan 2024
MoFo News Item
Daily Journal Names Arturo González and William Frentzen as Leading Commercial Litigators
24 Jan 2024
In The News
Ex-prosecutors: Arbitration Corruption Findings Against Worley Will Interest DOJ
12 Jan 2024
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Events
Events
Speaking Engagement
Ethixbase360's 2024 European Third-Party Risk Management & Compliance Summit
06 Jun 2024
Speaking Engagement
Securities Enforcement Forum West 2024
23 May 2024
Speaking Engagement
A Year In: Navigating SEC Cyber Rules and Increased Liability for Senior Executives and the Board
22 May 2024
Speaking Engagement
Galia Amram, Carrie H. Cohen, Bonnie Lau, Haima Marlier, and Nate Mendell to Present “Investigations and Enforcement Update” to Aledade
06 May 2024
Speaking Engagement
Financial Market Association's 2024 Securities Compliance Seminar
17 Apr 2024 - 19 Apr 2024
Event
MoFo Hosts Gurbir Grewal, SEC Director of Enforcement, for Live Podcast and Networking Event
20 Mar 2024 6:30 PM - 8:30 PM EDT
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Video + Audio
Video + Audio
Video
Enforcement and Reputational Issues in a Biden Administration
19 Nov 2020
Audio
The NYSE’s Trading Floor is Closed
23 Mar 2020
Podcasts
Podcasts
Podcast
Above Board: SEC Enforcement - Control Violations and Compliance Best Practices
14 May 2024
Podcast
Above Board: Regulatory and Enforcement Trends in the Life Sciences and Healthcare Industries
27 Oct 2023
Podcast
Above Board: DOJ and SEC on Cooperation and Clawbacks – Considerations for Directors
19 Sep 2023
Podcast
Have Short Sellers Been Tanking Bank Stocks? Group Wants SEC to Investigate
05 May 2023
Podcast
Above Board: Ethics and Compliance Programs and the Role of the Board
26 Sep 2022
Podcast
Above Board: Proposed Cybersecurity Disclosure and Reporting Requirements for U.S. Public Companies and Critical Infrastructure Entities
01 Apr 2022
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