Month: October 2014

The Commission prevailed in three litigated decisions. The agency secured a favorable jury verdict in an action centered on an offering fraud. In two other cases — one based on misrepresentations regarding the only company product and a second alleging …

This Week In Securities Litigation (Week ending October 17, 2014) Read More »

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The acquisition of Burger King by 3G Capital Partners is the matter that just keeps on giving – at least for SEC enforcement. Initially, the Commission brought an action against Wells Fargo broker Waldyr Da Silva Prado Neto, who misappropriated …

Wells Fargo Compliance Officer Charged With Altering Document Read More »

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