Tag: recidivist

SEC Prevails on Summary Judgment Against Recidivist

While the partial government shutdown continued the courts were able to remain open, although their websites were not updated. Agencies such as the SEC reduced their staff to a comparative handful. Nevertheless, during the period the Commission was able to

Tagged with: , ,

Securities Law Recidivist Pleads Guilty in Offering Fraud Case

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

Tagged with: , , ,
Top