Intelligence Pillar
SEC Enforcement Actions: Case Study Archive
The U.S. Securities and Exchange Commission (SEC) serves as the primary watchdog of the financial markets. Our archive documents the most significant enforcement actions taken against individuals and institutions. We detail the investigative process, the specific violations of the Securities Acts, and the resulting penalties—providing an essential record for compliance, risk management, and legal research.
32 Dossiers6 Case Studies26 Concepts
Key Intelligence Themes
#sec#enforcement#securities#insider#fcpa#settlement#fine#doj#fraud
Case Studies — The Vault
The Vault · 3 min
Barclays: The 'Dark Pool' Fraud Scandal
The Vault · 3 min
Bally Total Fitness: The Great Gym Accounting Fraud
The Vault · 3 min
Alcatel-Lucent: The $137 Million Global Bribery Fine
The Vault · 3 min
Airbus: The $3.9 Billion Global Bribery Record
The Vault · 4 min
The Adelphia Scandal: The Rigas Family's $3.1 Billion Piggy Bank
The Vault · 3 min
ABB: The Global Bribery Machine
Legal Concepts — The Library
The Library · 2 min
NFTs: Utility vs. Security
The Library · 4 min
What is Insider Trading? (And Why Martha Stewart Went to Prison)
The Library · 2 min
Rebuttable Presumption: The 'Insider Trading' Defense
The Library · 3 min
What is an Accredited Investor? The SEC's Wealth Barrier
The Library · 3 min
Subscription Agreements: The 'Private' Entry Ticket
The Library · 4 min
Side Letter Agreements: The 'VIP' Secret Contract
The Library · 3 min
Shelf Registration: The 'Ready-to-Go' Stock Sale
The Library · 3 min
What is a Shelf Registration? (The SEC Fast-Pass)
The Library · 2 min
Material Omissions: The 'Secret' Securities Fraud
The Library · 3 min
Lock-Up Periods: The Insider's Waiting Room
The Library · 3 min
Greenshoe Options: The 'Price-Support' Secret
The Library · 3 min
Sarbanes-Oxley Section 404: The Most Expensive Paragraph in Corporate History
The Library · 3 min
Section 363 Sales: The 'Clean' Bankruptcy Buyout
The Library · 3 min
Section 338(h)(10) vs. 338(g): The 'Election' Choice
The Library · 3 min
Section 338(h)(10) Valuation: The 'Step-Up' Math
The Library · 3 min
Section 338(h)(10) Election: The 'Tax Magic' Merger
The Library · 3 min
Lock-Up Agreements: The 'IPO Prison'
The Library · 2 min
Cross-Chain Bridges: The 'Billion Dollar' Security Hole
The Library · 3 min
Lock-Up Waivers: The Insider's Secret Exit
The Library · 3 min
Self-Dealing: The 'Hand-in-the-Cookie-Jar' Fraud
The Library · 2 min
Unauthorized Leaks: The 'CEO's Secret' Liability
The Library · 3 min
Office Relocation: The 'CEO's Secret' Liability
The Library · 2 min
High-Frequency Trading (HFT): The 'Millisecond' Arms Race
The Library · 3 min
Short-Swing Profits: The 'CEO's Speed' Penalty
The Library · 4 min
Rule 10b5-1: The Legal Way to Commit Insider Trading
The Library · 3 min