Blog

The Mango Labs dispute underscores a critical challenge in securities enforcement: what happens when a civil SEC settlement intersects with a parallel DOJ criminal investigation? Mango Labs settled with the SEC for nearly $700,000 in late 2024. But after the political winds shifted and a related criminal case involving the Mango Markets exploit changed course, Mango sought relief under Rule

Despite early speculation that regulatory enforcement might soften under the Trump administration, the Securities and Exchange Commission (SEC) has demonstrated a continued—and in some respects, intensified—commitment to insider trading enforcement in 2025. The agency reported a record number of enforcement actions in the first quarter of FY 2025, including several high-profile insider trading cases that signal a clear message: policing

FINRA Fines Public Investing $350K Over Misleading Influencer Promotions By: Sean Teehan, May 29, 2025 Celebrity-backed brokerage firm faces regulatory scrutiny for unsupervised social media campaigns. Public Investing Penalized for Lack of Oversight Public Investing, a social-first online brokerage supported by celebrities like Tony Hawk and Zoe Saldana, has agreed to pay a $350,000 fine to the Financial Industry Regulatory

Offering frauds are among the most common types of enforcement actions brought by the U.S. Securities and Exchange Commission (SEC). Most of these follow a familiar path: someone raises money from investors, promising profits, only for the SEC to later allege the offering involved misstatements—or worse, outright fraud. But before the SEC can even allege fraud, it must first establish

Imagine this: You’re a mid-level executive at a healthcare company. One morning, there’s a knock at your door. It’s the FBI. You’re informed that you’re the target of a federal investigation into alleged white collar health care fraud—perhaps related to billing practices, kickbacks, or regulatory missteps. The allegations stem from a government probe—one your employer quietly self-reported after conducting an