Tag: unprofessional conduct

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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This Week In Securities Litigation (Week ending Nov. 25, 2016)

In a holiday shortened week, the SEC brought actions involving: a financial fraud naming against the president of the firm who, assisted by two other officers named as defendants in an earlier Commission enforcement action, used sham agreements were used

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