Year: 2018

This Week In Securities Litigation (Week ending Dec. 21, 2018)

As the Holidays grow close SEC Enforcement brought a series of cases which replicate areas it had continued to focus on over the calendar year. Those include: Muni bond flipping; pay-to-play; pre-release ADRs; insider trading; SARs; and FCPA. Since actions

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SEC Brings Another Pre-release ADR Action

The Commission and SEC Enforcement continue to focus on the question of pre-release ADRs and how those instruments are handled by banks and broker-dealers. To date the agency has brought seven cases involving a broker or a bank based on

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