Year: 2018

SEC Enforcement By the Numbers

The merits of the SEC Enforcement program cannot be assessed by numbers and statistics chronicling events like how many cases were filed or the total amount of dollars ordered in judgments. At least that is the claim frequently repeated by

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This Week In Securities Litigation (Week ending Dec. 14, 2018)

The Commission filed a series of settled administrative proceedings this week. The cases were based on topics which are by now familiar: Undisclosed conflicts involving investment advisers, an ICO, internal controls and an EB-5 fraud. In addition, there were the