Jan M. Folena
PartnerCo-Chair, Securities & Regulatory Enforcement
Publications
Client Alert
Supreme Court: Investor Harm Not Required for SEC Disgorgement Remedy
June 12, 2026Client Alert
Ditching the Gag Rule: SEC Rescinds Its ‘No Admit, No Deny’ Settlement Policy Amid Supreme Court Challenge
May 21, 2026Client Alert
SEC Settles Charges with Robo-Adviser for Disclosure-Based Breach of Fiduciary Duty
April 9, 2026Report
Back to Basics, Continued: SEC Asset Management Enforcement Trends So Far in FY2026
March 18, 2026Podcast
The SEC's Regulatory Reset: Staying Ahead of the Curve
March 16, 2026
Article
Key Takeaways from IDC Webinar: SEC Examination Priorities and Enforcement Trends for Fund Directors
February 18, 2026
Client Alert
SEC Examinations Continues to Spotlight the Marketing Rule
December 22, 2025
Article
Key Takeaways from the PACDL White Collar Practice Seminar: Understanding the New SEC Enforcement Landscape
November 25, 2025Podcast
Best Protections for Fund Directors from SEC Exams and Enforcement – Looking Back and Ahead
October 23, 2025
Client Alert
Second Circuit Vacates Wire Fraud Conviction of OpenSea NFT Marketplace Product Lead
August 11, 2025
Publications
Asset Management Enforcement: Latest Trends and a Look at the New Commission
July 2025 – The Investment Lawyer
Client Alert
Supreme Court Rules Federal Fraud Claims Are Actionable Even in Absence of Intended Economic Harm
June 4, 2025
Client Alert
First Circuit Rebuffs SEC: $93M Judgment Reversed in Latest Judicial Setback
April 10, 2025
Podcast
The SEC Under New Management
March 14, 2025Client Alert
Asset Management Enforcement: Latest Trends and a Look Ahead at the New Commission
March 11, 2025Publications
Alpine Ruling Previews Challenges to FINRA Authority Law360
December 13, 2024Client Alert
D.C. Circuit Ruling: Continued Challenges to FINRA Authority
December 5, 2024Publications
Fraud in the Technology Age: Strategies for Detection, Prevention and Navigating Regulatory Inquiries The Review of Securities & Commodities Regulation
December 4, 2024Client Alert
SEC Settles Enforcement Actions with JPMorganChase Affiliates for $151M
November 25, 2024Client Alert
As Regulation Best Interest Enforcement Cases Accelerate, It’s Time to Shift Strategy
September 9, 2024Publications
Bad Facts Create Good Law on Negligence Standard for Investment Advisers Investment Advisers Association
July 26, 2024Client Alert
Fifth Circuit Sends DOL’s ESG Rule Back to District Court
July 24, 2024Client Alert
Supreme Court Ruling Facilitates Challenges to Administrative Rules
July 16, 2024Client Alert
Supreme Court Limits SEC’s Home Field Advantage
July 3, 2024Client Alert
Supreme Court Halts 40 Years of Deference to Administrative Agencies
July 2, 2024Client Alert
As Summer Approaches, Fifth Circuit Sends Private Funds Rule on Vacation
June 12, 2024Client Alert
SEC Settles First Off-Channel Communications Enforcement Action with Standalone Investment Adviser
April 10, 2024Publications
SEC’s Proxy Advisory Firm Regulation Derailed by Court in Growing List of Legal Setbacks
March 28, 2024 – Bloomberg LawClient Alert
Bad Facts Make Good Law for Investment Advisers
March 27, 2024Client Alert
SEC Enforcement and Investment Advisers: 2023 Is in the Books. How Will 2024 Look?
March 15, 2024
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