Year: 2018

The Commission’s revamped approach to enforcement, centered in part on retail customers, is reflected in its most recent case. In an action against a managing director at a firm registered as an investment adviser and broker dealer, the Order focuses …

SEC and Retail Customers: Sanctions For Undisclosed Principal Transactions Read More »

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The Department of Justice continues to focus on individuals in FCPA cases, consistent with the dictates of the Yates memo. The President of a Maryland based transportation company was named in an eleven count indictment centered on FCPA violations involving …

Another Corporate Executive Indicted for FCPA Violations Read More »

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