SmithAmundsen attorneys handle investigations and cases brought by the U.S. Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), regional exchanges, and state attorneys general and securities regulators. These matters range from informal inquiries and formal investigations to administrative proceedings, subpoena requests for documents, and settlement negotiations with regulators.
SmithAmundsen represents plaintiffs and defendants in a variety of litigated matters under all of the federal securities laws, including: the Securities Act of 1933, as amended; the Securities Exchange Act of 1934, as amended; the Investment Advisors Act of 1940, as amended; and the Investment Company Act of 1940, as amended.
Our firm represents corporations, partnerships, securities exchanges, broker-dealers and other securities professionals, directors, officers and other parties in class, derivative and other litigation involving charges of fraud, inadequate disclosure, violation of regulatory requirements, and breach of fiduciary duty.
- Senior Counsel
- SmithAmundsen Corporate Alert,
- Speaking Engagement, Illinois Chamber of Commerce, Webcast,
- Institute for Paralegal Education; Webinar,
- Corporate Governance: From Nuts and Bolts to Trending TopicsCorporate Governance: From Nuts and Bolts to Trending Topics
Molly Arranz and Eric Fogel discussed the Foreign Corrupt Practices Act and some of the recent enforcement actions.
- What the SEC’s New Strategic Plan Means for the Financial Industry and InvestorsWhat the SEC’s New Strategic Plan Means for the Financial Industry and Investors
On August 24, the Securities and Exchange Commission (SEC) released a draft of its strategic plan for 2022 – 2026, outlining its key initiatives for the next four years. The SEC’s mission is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. Its strategic plan is intended to further that mission by laying out goals that will guide its policy and decision making.
- Corporate Attorney James J. Wawrzyn Joins Our Milwaukee OfficeCorporate Attorney James J. Wawrzyn Joins Our Milwaukee Office
Please join us in welcoming James!
- State of Illinois Force Majeure Law Compendium (during COVID-19 pandemic)State of Illinois Force Majeure Law Compendium (during COVID-19 pandemic)
In USLAW NETWORK’s newly released COVID-19 Force Majeure Compendium of Law, Karen Tobin seeks to provide an Illinois exemplar on relevant considerations with respect to invoking “force majeure” clauses in contracts in light of the ongoing COVID-19 crisis.