Year: 2017

The Commission and the DOJ have recently brought a number of securities fraud cases in which a key person in the misconduct concealed a prior criminal conviction for securities related offenses from investors. Another case in this series was announced …

Securities Law Recidivist Pleads Guilty in Offering Fraud Case Read More »

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The Commission brought two insider trading cases this week, one which is being litigated and another that settled prior to filing. The agency also brought a financial fraud action against five firm executives who essentially devised a series of schemes …

This Week In Securities Litigation (Week ending March 17, 2017) Read More »

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