SEC Enforcement Passes Midterms, but Big Tests Lie Ahead

July 15, 2014

Jordan A. Thomas discusses enforcement by the Securities and Exchange Commission in 2014 and what the coming months will bring

Despite earning an “above average” grade by experts, the Securities and Exchange Commission continues to face challenges in bringing cases against companies for unlawful conduct.

"The success of the SEC in the last six months has been driven heavily by the specialized units," said Jordan Thomas, Firm partner and former SEC enforcement official.