Tag: misappropriation

This Week In Securities Litigation (Week ending Feb. 1, 2019)

The first week back after the shutdown was undoubtedly busy for the Enforcement Division and the entire Commission. Whether the government is going to continue past February 15 or not remains an open question and an issue which has all

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This Week In Securities Litigation (Week ending July 20, 2018)

The Commission filed a series of enforcement actions last week focused largely on retail investors. Those cases included: An action against a former CCO involving undisclosed conflicts; another centered on false statements concerning a shale oil firm; a case centered

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