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Accolades February 27, 2025

Top Verdicts of 2024: Anderson v. Edward D. Jones & Co.

Last September, Gibson Dunn & Crutcher attorneys successfully defended financial services firm Edward D. Jones & Co., L.P.

Client Alert January 30, 2025

Securities Enforcement 2024 Year-End Update

Expect sweeping changes ahead. But when looking back, an aggressive enforcement agenda continued as the SEC reported record high financial remedies, although—like all numbers that high—the SEC’s enforcement measures in 2024 require context and came alongside a drop in new actions.

Webcasts December 19, 2024

Webcast: Expect Sweeping Changes to the SEC Next Year: An Insider’s Preview

Join us for an insider view of what to expect at the SEC in the new administration. During this 60-minute webcast we discuss our expectations for the regulatory agenda of the U.S. Securities and Exchange Commission in 2025 and beyond. This will impact all public companies, funds, and financial market participants.

Client Alert August 22, 2024

Securities Enforcement 2024 Mid-Year Update

Our lawyers provide their mid-year securities enforcement update.

Client Alert June 7, 2024

Recent SEC Enforcement Action Potential Harbinger of More Regulation Best Interest Enforcement Against Broker-Dealers

There has been a dearth of Commission enforcement actions relating to Reg BI since the rule became effective in June 2020. This action for ordinary conflict of interest concerns, and another from February, may signal a more active Reg BI enforcement regime moving forward.

Client Alert May 13, 2024

SEC Action Highlights Risks for Investment Advisers Sharing Legal Expenses with Fund Clients

This action highlights the need for investment advisers to exercise caution when contemplating any situation in which legal fees will be shared with clients.

Client Alert February 6, 2024

2023 Year-End Securities Enforcement Update

Our lawyers provide their 2023 year-end securities enforcement update.

Client Alert October 2, 2023

SEC News Roundup: Private Funds Rule Compliance Date Set, Nine Investment Advisers Charged in Breach of Marketing Rule, in Rare Action, Investment Adviser Found to be Acting as an Illegal Broker-Dealer

Our SEC News Roundup summarizes three recent enforcement and administrative items that private fund advisers should be aware of.