Amanda is a member of McGuireWoods’ nationally-recognized Government Investigations & White Collar Litigation department and the firm’s Securities Enforcement & Regulatory Counseling practice group. Amanda has significant experience representing financial services clients in complex securities matters, with a focus on internal investigations and defense from regulatory enforcement proceedings brought by the SEC, FINRA, NYSE, CBOE, and state financial regulators.
By Emily P. Gordy, Cheryl Haas, Amanda J. Goldstein and McGuireWoods LLP on Securities and CommoditiesOn April 30, the U.S. Circuit Court of Appeals for the District of Columbia Circuit vacated a Securities and Exchange Commission order imposing sanctions. The court held that an investment advisory firm and its owners did not violate Section 207 of the Investment Advisers Act of 1930, 15 U.S.C. § 80b-7, by negligently omitting material facts from the… Continue Reading