Month: November 2016

When Congress created the PCAOB many commentators thought that actions against accounting firms and their professionals would be handled by the Board rather than the SEC. While the Board does conduct investigations and bring enforcement actions, the Commission has continued …

SEC Charges Audit Firms With Unprofessional Conduct Read More »

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The Commission brought a financial fraud action centered on misconduct seemingly drawn from its traditional cases in the area: sham agreements and round-trip transactions, all designed to artificially inflate the share price for a sale of securities. SEC v. Campion, …

SEC Charges Sham Agreements, Round-Trip Transactions Read More »

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