Eva Shen

Jul 1, 2024 | texaslawbook.net | Rebecca Fike |Fry Wernick |Eva Shen

Congress originally created the SEC in 1934 to enforce its recently passed laws designed to combat securities fraud and to increase market transparency. Originally, the SEC could only seek to impose civil penalties on unregistered investment advisers in federal court, but its enforcement authority has evolved significantly over the years through additional legislation.

Jun 5, 2024 | jdsupra.com | Rebecca Fike |Eva Shen

The U.S. Securities and Exchange Commission (“SEC”) and Department of Justice (“DOJ”) have been working increasingly collaboratively to combat unlawful trading practices and hold wrongdoers accountable, demonstrating effective interagency cooperation to protect investors and ensure the integrity of the financial markets.

Jun 9, 2023 | jdsupra.com | Rebecca Fike |Eva Shen

On May 23, 2023, Rahul Kohlhatkar, Assistant Regional Director in the Division of Enforcement at the San Francisco Regional Office of the U.S. Securities and Exchange Commission (“SEC”), shared the stage with a group of leading experts in the securities enforcement field at the Securities Enforcement Forum West 2023.