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NYAG Sues Meat Company for Its Net Zero Emissions Claims
29 Feb 2024, 2:21 pm by Kevin LaCroix
Too: In a February 23, 2024 speech at an Ohio State Law Journal symposium, SEC Enforcement Director Gurbir [read post]
The D & O Diary - http://www.dandodiary.com/
Wachtell Lipton Offers Summer Takeaways in SEC Enforcement
4 Sep 2024, 9:01 pm by renholding
”  After several public statements by Chairman Gary Gensler and Enforcement Director Gurbir [read post]
The CLS Blue Sky Blog - https://clsbluesky.law.columbia.edu/
SEC Hits Dozens of Firms With $390 Million Penalty for Recordkeeping Failures
15 Aug 2024, 9:01 pm by renholding
securities laws, which are essential to investor protection and well-functioning markets,” said Gurbir [read post]
The CLS Blue Sky Blog - https://clsbluesky.law.columbia.edu/
11 Wall Street firms charged by SEC with widespread recordkeeping failures penalties total $289 million
8 Aug 2023, 9:31 am by jeffreynewmanadmin
internal policies and procedures, today’s actions remind us that many still have not,” said Gurbir [read post]
Whistleblower Blog - https://www.jeffreynewmanlaw.com/blog/
SEC’s ESG Task Force Brings First Enforcement Action
5 May 2022, 3:35 am by Liz Dunshee
Sustainability Reports and other public filings to make informed investment decisions,’ said Gurbir [read post]
TheCorporateCounsel.net Blog - http://www.thecorporatecounsel.net/Blog/
SEC charges auditor BF Borges with fraud affecting 1,500 SEC filings
3 May 2024, 8:11 am by jeffreynewmanadmin
responsible for one of the largest wholesale failures by gatekeepers in our financial markets,” said Gurbir [read post]
Whistleblower Blog - https://www.jeffreynewmanlaw.com/blog/
SEC charges auditor BF Borgers with fraud affecting 1,500 SEC filings
3 May 2024, 8:05 am by jeffreynewmanadmin
responsible for one of the largest wholesale failures by gatekeepers in our financial markets,” said Gurbir [read post]
Whistleblower Blog - https://www.jeffreynewmanlaw.com/blog/
SEC charges SolarWinds and Chief information security officer with fraud, internal control failures
31 Oct 2023, 11:41 am by jeffreynewmanadmin
subordinates to conclude: ‘We’re so far from being a security minded company,’” said Gurbir [read post]
Whistleblower Blog - https://www.jeffreynewmanlaw.com/blog/
Door Risk Management — Government-to-Law Firm Laterals and Revolving Door Compliance, Government Ethics Advisory
5 Nov 2024, 6:52 am by Dan Bressler
” “For instance, when Milbank hired SEC enforcement chief Gurbir Grewal this year, the firm [read post]
Bressler Risk Blog - http://www.bresslerriskblog.com
SEC, CFTC officials discuss DeFi at Chamber of Digital Commerce event
20 Aug 2021, 7:10 am by John Jascob
The SEC’s newly appointed Enforcement Director, Gurbir Grewal, said that "[f]ull and honest [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Cybersecurity Disclosure: SEC Enforcement Brings Fraud Charges Against CISO
31 Oct 2023, 3:30 am by Liz Dunshee
Cybersecurity” Practice Area, but for now I leave you with these parting words from Enforcement Director Gurbir [read post]
TheCorporateCounsel.net Blog - http://www.thecorporatecounsel.net/Blog/
EY Ethics & Conflicts News — Details on Another Big 4 Accounting Conflicts Story Surface, Audit Ethics Irony
13 Jul 2022, 8:11 am by Dan Bressler
professionals responsible for catching cheating by clients cheated on ethics exams, of all things,’ said Gurbir [read post]
Bressler Risk Blog - http://www.bresslerriskblog.com
SEC vs. SPACs – The SEC is Keeping Up
18 Feb 2022, 1:22 pm by Race to the Bottom
SEC Division of Enforcement Director, Gurbir Grewal, stated that Milton’s claims “falsely [read post]
The Race to the Bottom - https://www.theracetothebottom.org/rttb
SEC charges Allianz Global and three former portfolio managers with massive fraud scheme of hiding risk and losses. Allianz agrees to pay $1 billion to settle and $5 billion in restitution to victims
17 May 2022, 12:30 pm by jeffreynewmanadmin
funds when the market volatility of March 2020 exposed the true risk of their products,” said Gurbir [read post]
Whistleblower Blog - https://www.jeffreynewmanlaw.com/blog/
Commentary on SEC v. Matthew Panuwat: The Shadow Insider Trading Case
14 Apr 2024, 4:46 pm by Steve Bainbridge
" The Director of the SEC's Division of Enforcement, Gurbir S. [read post]
ProfessorBainbridge.com - http://www.professorbainbridge.com/professorbainbridgecom/
Week in Review
12 Dec 2019, 9:05 pm by Alana Bevan
” New Jersey Attorney General Gurbir Grewal announced adoption of the state’s first rules [read post]
RegBlog - https://www.theregreview.org/
Former SEC Enforcement chiefs share insights on defending against SEC enforcement actions
8 Nov 2021, 6:42 am by John Jascob
discussed the agency’s assertive enforcement under SEC Chair Gary Gensler and Enforcement Director Gurbir [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
You Aren’t Just Imaging Things: The Current SEC Really is More Active
17 Nov 2022, 1:14 pm by Kevin LaCroix
The report cites a statement from the SEC Enforcement Division’s Director, Gurbir Grewal, as saying [read post]
The D & O Diary - http://www.dandodiary.com/
SEC Risk Response — Firm Subpoenaed Over Law Firm Client Information Hack Raises Client Confidentiality Concerns, Investment Manager Conflict Called, MSG Lawyer Facial Recognition Strikes Again
17 Jan 2023, 6:11 am by Dan Bressler
” “In an emailed statement on Thursday, SEC enforcement director Gurbir Grewal said the Covington [read post]
Bressler Risk Blog - http://www.bresslerriskblog.com
David Klein Featured in WSJ: What to Know About (Legally) Marketing Crypto Assets
17 Oct 2022, 5:36 pm by Klein Moynihan Turco
nature, source, and amount of compensation they received in exchange for the promotion,” said Gurbir [read post]
Technology, Telemarketing and Internet Law Blog - https://kleinmoynihan.com/category/blog/