Year: 2018

SEC Charges Recidivist with Manipulation

Last week the U.S. Attorney’s Office for Manhattan obtained a guilty plea in a securities fraud action from a defendant who engaged in the fraudulent activity while out on bail on another criminal securities case. See, SEC v. McFarland, Civil

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This Week In Securities Litigation (Week ending July 27, 2018)

The Commission brought a series of cases this week which involved: Insider trading; offering fraud; compliance/Confidential information; compliance/Pre-release ADRs, and misrepresentations. Criminal actions were based on: Offering fraud; manipulation; insider trading; crypto currency/cyber security and manipulation. Finally, the Australian Securities