Year: 2015

Undefined Cooperation is Basis For SEC Settlement

The Commission accepted a settlement offer from one of three Respondents in an offering fraud action. It was based in part on cooperation and an undertaking to appear and testify for the staff in the future. In resolving the proceeding

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This Week In Securities Litigation (Week ending October 16, 2015)

The SEC prevailed on two summary judgment motions. One centered on a manipulation action. The other was against an attorney who facilitated a prime bank fraud. The Commission also filed: An action against UBS tied to its failure to disclose

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