Year: 2016

Financial reporting cases are a key focus of SEC enforcement. In some instances the actions result from fraudulent schemes such as those where executives falsify the numbers to obtain a bonus. In other instances the actions center on accounting errors. …

SEC – Phoenix Settle Accounting Errors Action Read More »

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The Commission filed another offering fraud action in what has become virtually a continuous stream of these cases. Its latest action centers on the sale of interests in a payday lending business operated in partnership with a federally recognized Native …

SEC Offering Fraud Action Built on Duty to Disclose Omissions Read More »

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