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Report

Accounting and Auditing Enforcement Activity

This report examines trends in accounting and auditing enforcement actions that were publicly disclosed by the U.S. Securities and Exchange Commission (SEC) and the Public Company Accounting Oversight Board (PCAOB)…

Press Release

Cornerstone Research Report Shows SEC Establishes Itself as a Key U.S. Cryptocurrency Regulator

More than one-third of crypto-related actions involved allegations of both fraud and unregistered securities offerings.

Report

SEC Cryptocurrency Enforcement—Q3 2013–Q4 2020

The SEC brought 75 cryptocurrency-related enforcement actions from Q3 2013 to Q4 2020, allegations of fraud and unregistered securities offerings were the most frequent.

Report

Accounting and Auditing Enforcement Activity—2020 Review and Analysis

The SEC and PCAOB publicly disclosed 63 accounting and auditing enforcement actions during 2020. Monetary settlements totaled more than $1.4 billion.

Article

Former SEC Officials Predict SEC Priorities

The authors discuss potential changes to disclosure and enforcement policies at the Securities and Exchange Commission under the Biden administration.

Report

SEC Enforcement Activity

Cornerstone Research collaborates with the Securities Enforcement Empirical Database (SEED) to publish annual publications analyzing trends in SEC enforcement actions against public companies traded on major U.S. exchanges and their…

Article

Cross-Market Manipulation Under the Microscope

The authors discuss illustrative cross-market manipulation enforcement cases and their implications for market participants in the EU, UK and US.

Podcast/Video

Cornerstone Research Connects: 2019 Accounting and Auditing Enforcement Activity

The authors discuss the Accounting and Auditing Enforcement Activity report and some of its key findings.

Case

Financial Reporting Investigation Following SEC Inquiry

Cornerstone Research was retained by counsel for an investigation into an entity’s financial statement close and reporting process in response to issues raised by the SEC.

Case

Revenue and Financial Reporting Internal Investigation

Cornerstone Research analyzed accounting and business records for a healthcare-related company.

Press Release

Jennifer Marietta-Westberg Joins ILE Board of Directors

Dr. Marietta-Westberg was invited to serve on the board of directors at the Institute for Law and Economics at the University of Pennsylvania.

Case

Leveraged and Inverse ETFs

On behalf of a financial institution, Cornerstone Research examined investor trading activity in leveraged and inverse ETFs.

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