Year: 2017

SEC Files Another Financial Fraud Action

Despite an economy in which many firms are reporting favorable results, the Commission continues to ferret out those who try and take a short-cut to good financial performance through fraud. For example, in recent weeks the Commission brought an action

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This Week In Securities Litigation (Week ending June 16, 2017)

A jury in Connecticut largely acquitted three former Nomura Securities RMBS trades charged with conspiracy, securities and wire fraud tied to allegations that the securities were mismarked. This is the second criminal case where jurors rejected such claims. The SEC

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