SEC and CFTC Enforcement Update
Client Newsletter

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In this edition of the newsletter, we discuss enforcement developments at the agencies during June 2020. The SEC brought 22 actions (excluding follow-on actions, bars, and suspensions) and the CFTC brought eight actions, marking its busiest month so far this year. The SEC and CFTC brought these actions against a combined total of 66 defendants and respondents evenly split between individuals (33) and corporate entities (33).

The SEC’s 22 actions spanned numerous case types, including several investment adviser, broker-dealer, and disclosure and accounting cases. The CFTC’s actions involved regulation violations, manipulative trading, and frauds.

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