Year: 2016

SEC, United Settle Internal Controls Case

When the Foreign Corrupt Practices Act was passed, a key portion of the statute centered on the books and records and internal control provisions written by the Commission. While the bribery provisions only apply to foreign officials, the books and

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This Week In Securities Litigation (Week ending December 2, 2016)

The focus this week was offering fraud actions. Three cases were brought. One involved a registered transfer agent. A second centered on claims that the defendant was an expert trader. The third was based on false claims regarding the defendant’s

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