The SEC, in charging the broker dealers and investment advisers, referred to "widespread and longstanding failures by the firms and their employees to maintain and preserve electronic communications."
February 09, 2024 at 03:03 PM
2 minute read
The Securities and Exchange Commission’s latest enforcement action—charging several broker-dealers and investment advisers for recordkeeping violations—has sent a wave of defense work to a group of big law firms.
Defense counsel for 16 companies and firms charged by the SEC include Foley & Lardner, Milbank, Sidley Austin, and Simpson, Thatcher & Bartlett.
Presented by BigVoodoo
The National Law Journal Elite Trial Lawyers recognizes U.S.-based law firms performing exemplary work on behalf of plaintiffs.
The premier educational and networking event for employee benefits brokers and agents.
The Legal Intelligencer honors lawyers leaving a mark on the legal community in Pennsylvania and Delaware.
Truly exceptional Bergen County New Jersey Law Firm is growing and seeks strong plaintiff's personal injury Attorney with 5-7 years plaintif...
Shipman is seeking an associate to join our Labor & Employment practice in our Hartford, New Haven, or Stamford office. Candidates shou...
Evergreen Trading is a media investment firm headquartered in NYC. We help brands achieve their goals by leveraging their unwanted assets to...
MELICK & PORTER, LLP PROMOTES CONNECTICUT PARTNERS HOLLY ROGERS, STEVEN BANKS, and ALEXANDER AHRENS
Breaking news and trends for law firm and legal departments about the evolving federal regulations in a volatile political climate.
U.S. Securities and Exchange Commission building in Washington, D.C. (Photo: Diego M. Radzinschi/ALM)
