Year: 2013

The Supreme Court heard argument yesterday in Gabelli v. SEC, No. 11-1274, a case which could have a significant impact on the SEC’s enforcement program. The action centers on the application of the five year statute of limitations for imposing …

A Key SEC Enforcement Issue Is Argued Before the Supreme Court Read More »

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It began with a trading suspension. Continued the next year with the filing of an enforcement action. Persisted through a preliminary injunction. Now it has largely ended with the settlement of the CEO and CFO with the Commission. It’s the …

The Spongetech CEO and CFO Settle with the SEC Read More »

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