Year: 2018

SEC Enforcement & Venue: A Question of Fairness

The question never really addressed, but which has always been the fundamental issue, is fairness. When the Commission began shifting its enforcement actions from federal district court to its administrative in-house forum, the bedrock question was fundamental fairness, presented in

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This Week In Securities Litigation (Week ending September 14, 2018)

The Commission filed settled actions this week centered on the manipulation of a pharmaceutical firm’s shares by a short seller and the efforts of an outsourced CFO to evade currency restrictions for China based issuers by transmitting expense payments to

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