Tag: trials

The Commission prevailed in another trial last week with a jury finding in its favor and against the defendant. This action centered on misrepresentations made by a borrower to a broker in connection with margin loans. SEC v. Hall, Civil …

SEC Prevails in Another Trial Read More »

Tagged with: ,

A jury was unable to reach a verdict on half of the claims asserted by the SEC against two senior executives of Thornburg Mortgage, Inc., the second largest independent mortgage company in the country. The charges centered on a market …

Jury Deadlocks on Key SEC Claims Read More »

Tagged with: , ,