Month: March 2015

The SEC continued Operation Shell-Expel this week, suspending trading in the shares of 128 OTC issuers bringing its total for the program to about 8% of the shares traded in that market. The Commission also announced another whistleblower award, this …

This Week In Securities Litigation (Week ending March 6, 2015) Read More »

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Section 1519 was passed as part of the Sarbanes-Oxley Act in the wake of Enron’s massive accounting fraud. The section was designed to fill a gap in the law by preventing corporate document-shredding to conceal evidence of financial wrong doing. …

SOX, the Destruction of Evidence And Dr. Seuss: Is a Fish A Tangible Object? Read More »

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