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From the Blog:

Kokesh v. Securities and Exchange Commission: A New Limitation to the Government’s Enforcement Power?

The United States Supreme Court will soon decide whether the SEC can continue to impose disgorgement fees without regard to any statute of limitations....

Compliance and Legal Officer Guidelines to Prevent Non-Line Supervisory Liability

Chicago partner Jim Lundy and associate Carrie DeLange, members of Drinker Biddle’s SEC & Regulatory Enforcement Team, authored “Compliance and Legal Officer Guidelines to...

Broker Pays $2.5 Million Fine for Using Market Volatility to Hide Markups Yielding Unearned Commissions

Last week, Louis Capital Markets, L.P. (“LCM”) agreed to disgorge $2.5 million in settlement of charges that it charged false execution prices to its...