News 09 Apr. 2024
Curtis Announces New Partners and Counsels Across Offices in Spring 2024
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News 25 Jan. 2024
Counsel Mohannad A. El Murtadi Suleiman Addresses “Africanization” of International Investment Law
Event 18 Aug. 2023
Partner Borzu Sabahi Speaks at FDI Moot Shenzhen
News 25 Jul. 2023
Partner Eric Gilioli Ranked in Top 10 Influential Energy & Natural Resources Lawyers in Kazakhstan in Business Today
Client Alert 28 Dec. 2023
U.S. to Impose Secondary Sanctions on Non-U.S. Banks For Financing Russia’s Defense Industry
News 28 Aug. 2024
Curtis Recognized for Excellence in Arbitration in Chambers Latin America Guide 2025
Event 22 Aug. 2023
Partner Dr. Claudia Frutos-Peterson to Speak at Arbitration and ADR Commission of the ICC Mexico
News 08 Oct. 2024
Curtis Boosts London Finance and Corporate Capability with Appointment of Partner Christopher Harrison
News 15 Aug. 2023
Legal Reader Publishes Article on Dr. Majed Alotaibi’s Arrival as Senior Counsel in Curtis’ Riyadh Office
News 24 Aug. 2023
Curtis Attorneys Quoted in CoinDesk on FTX Founder Sam Bankman-Fried’s Strategy Ahead of His Criminal Trial
Client Alert 10 Jul. 2024
EU Adopts New Restrictive Measures Against Belarus
Client Alert 26 Jun. 2024
The EU Adopts its 14th Sanctions Package Against Russia
news
France’s Court of Cassation Confirms Arbitration Award in Favour of Cyprus in FBME Case
Curtis Rome Office Hosts Exclusive Dinner for In-House Lawyers, Featuring Insightful Discussion on Legal Landscape
What is Securities Litigation?
The Securities and Exchange Commission (SEC) is a federal agency responsible for regulating the U.S. securities markets. Since its creation following the stock market crash in 1929, the SEC’s mission is to facilitate capital formation, maintain a fair, orderly, and efficient securities market, and to protect investors. The SEC was created to regulate securities brokers and dealers, as well as public companies that issue securities, and ensure that those parties are disseminating accurate and fulsome information about their businesses.
The Securities and Exchange Commission (SEC) can bring an enforcement action either in a federal district court or in an administrative proceeding to enjoin (prohibit) a person or company from engaging in further violations of US securities laws or regulations. In these actions, the SEC often seeks to have a person or company pay a civil penalty or to disgorge (forfeit) unlawfully obtained profits as a result of a securities law violation.
The Securities and Exchange Commission regulates all publicly traded companies that sell securities in the United States, as well as securities dealers and brokers that operate in the US.
Joseph D. Pizzurro
Partner
T. Barry Kingham
Nancy E. Delaney
Commercial Disputes - Litigation
White Collar Defense and Investigations
Internal Investigations
Capital Markets
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