Tag: SEC

This Week In Securities Litigation (Week ending August 11, 2017)

Four criminal securities cases moved to or toward resolution over the past week. The jury in the Martin Shkreli trial returned a verdict of guilty on three counts and not guilty on five others at the end of last week.

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Trading in Opaque Markets: Fraud, Materiality and Compliance

This is the first segment of an occasional series regarding a group of criminal and civil securities fraud actions involving trading in opaque markets and the lessons that can be drawn the prosecutions Introduction The U.S. Attorney’s Office and the

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