Tag: SEC

This Week In Securities Litigation (Week ending June 23, 2017)

The first criminal charges against a major international bank and four of its executives tied to the market crisis were brought this week by the SFO. The charges were based on actions the firm took with private lenders to avoid

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SEC Files Another Financial Fraud Action

Despite an economy in which many firms are reporting favorable results, the Commission continues to ferret out those who try and take a short-cut to good financial performance through fraud. For example, in recent weeks the Commission brought an action

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