News 24 Jun. 2021
Curtis successfully defends foreign states' procedural privileges in the UK Supreme Court
News 23 Jun. 2021
Ibrahim Elsadig joins Curtis as Partner in Dubai
News 09 Aug. 2021
Curtis, Mallet-Prevost, Colt & Mosle enters into association with Chevalier Law in Singapore.
Event 23 Apr. 2021
Partner Borzu Sabahi to speak on Damages, Enforcement and Annulment of Arbitral Awards at Executive Training Program hosted by the Government of India and the Indian Institute of Foreign Trade
Client Alert 18 Oct. 2021
Senior Associate Martin Wolff Discusses Practical Questions with Regard to the German Implementation of the EU Directive on Cross-Border Tax Arrangements (DAC6) in Institutional Money
News 18 Oct. 2021
Jan Krupski Joins Curtis as a Partner in Frankfurt
News 15 Oct. 2021
Claudia Frutos-Peterson and Elisa Botero Ranked Among the Top 100 Female Lawyers in Latin America by Latinvex
News 13 Oct. 2021
Curtis Joins The Appellate Project to Promote Appellate Practice to Diverse Law Students
Client Alert 15 Oct. 2021
Recent change in Dubai’s Arbitration Landscape.
News 20 Sep. 2021
Curtis Successfully Defends the Sultanate of Oman and Oman Aluminium Rolling Company LLC in U.S. Department of Commerce Trade Case
Client Alert 05 Oct. 2021
Proposed Legislative Changes to Federal Estate, Gift and Trust Taxation
Publications 22 Sep. 2021
Client Alert 24 Jun. 2021
U.S. Insight: Update on Virtual Notarization (Executive Order 202.7) During the COVID-19 (Coronavirus) Pandemic (Updated: June 24, 2021)
U.S. Insight: Update on Virtual Witnessing (New York Executive Order 202.14) During The COVID-19 (Coronavirus) Pandemic (Updated: June 24, 2021)
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
T. Barry Kingham
Nancy E. Delaney
Commercial Disputes - Litigation
White Collar Defense and Investigations