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Year: 2015

Posted on by T. Gorman Posted in SECActions

The SEC has long considered securities enforcement actions a necessary adjunct to its enforcement program. The Commission has repeatedly noted this point in briefs. The Supreme Court acknowledged the fact. Both Cornerstone Research (here) and NERA Economic Consulting (here) track …

Securities Class Actions as an Adjunct to SEC Enforcement Actions Read More »

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Posted on by T. Gorman Posted in SECActions

The SEC settled another action this week based on admissions of fact and that the Federal securities laws were filed, this time involving Oppenheimer. The action was based on the fact that the firm permitted an off-shore and non-U.S. broker …

This Week In Securities Litigation (Week ending January 30, 2015) Read More »