On April 3, 2024, the U.S. Securities and Exchange Commission (SEC) announced its first enforcement action against a registered investment adviser (RIA) with no ties to a broker-dealer.
On Friday, April 5, 2024, a San Francisco jury found the defendant liable in SEC v. Panuwat, the closely watched litigated enforcement action brought by the U.S. Securities and Exchange.
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Key Points
In a thorough decision, a federal district judge in New York largely denied Coinbase s motion for judgment on the pleadings in a case brought by the SEC. Applying the plaintiff-friendly.
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