Tag: SEC Enforcement

SEC Investigation
Other Primer

Can The SEC Bring Criminal Charges?

While the SEC has extremely broad investigative and enforcement powers, it cannot file criminal charges. It can, and often does, work with the Department of Justice and the United States Attorney’s Office to bring those charges. The SEC and the DOJ often work together, with the SEC sending its more […]

SEC Investigation
News

Chair Gensler Announces Additions to Executive Staff

The Securities and Exchange Commission announced the appointments of Corey Frayer, Phil Havenstein, Jennifer Songer, and Jorge Tenreiro to Chair Gary Gensler’s executive staff. “Corey, Phil, Jenny, and Jorge have exceptional experience,” said Chair Gensler. “I’ve already begun to rely on their valuable counsel on policy, enforcement, and agency operations, […]