Tag: unprofessional conduct

This Week In Securities Litigation (Week ending Jan. 18, 2019)

The partial government shutdown continues, leaving agencies such as the SEC virtually dark. Nevertheless, the Commission issued and order this week and filed three new actions. The most significant charged those who hacked EDGAR with fraud. A parallel action was

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This Week In Securities Litigation (Week ending April 13, 2018)

One firm and three of its officers were named as defendants in a Commission enforcement action that could have been cloned from earlier remarks of Chairman Clayton about cryptocurrency. In one speech the Chairman decried situations where a firm might

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