Securities,
Government,
Corporate,
Administrative/Regulatory
Jan. 24, 2017
Year in review: the SEC in 2016
With the pending confirmation of new SEC Chair Jay Clayton and an administration committed to curtailing Dodd-Frank, the coming year will usher in a new enforcement regime that will likely move away from the SEC's aggressive stance seen under Chair Mary Jo White.
Nicolas Morgan
Partner
Paul Hastings LLP
Phone: (213) 683-6181
Email: nicolasmorgan@paulhastings.com
Nicolas is a partner in the firm's Litigation Department. He served as senior trial counsel in the SEC's Los Angeles office.
Sam S. Puathasnanon
515 S Flower St Fl 25
Los Angeles , California 90071
Loyola Law School
Sam Puathasnanon is former trial counsel in the SEC’s Los Angeles office. He is of counsel in the Litigation Department of Paul Hastings LLP.
Thomas A. Zaccaro
Senior Counsel
Hueston Hennigan LLP
Phone: (213) 788-4039
Email: tzaccaro@hueston.com
Boston College Law School
Thomas is a partner in the firm's Litigation Department. He served as regional trial counsel in the SEC's Los Angeles office.
The Securities and Exchange Commission recently announced that it filed a record 868 enforcement actions in its 2016 fiscal year, which ended on Sept. 30, 2016, a 7.5 percent increase over the 807 actions filed in 2015. The 868 actions are comprised of 548 independent or standalone enforcement actions, 195 follow-on administrative proceedings, and 125 actions against delinquent filers. In 2016, the SEC also obtained orders totaling just over $4 billion in disgorgement and civil penalties, ...
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