Month: March 2017

U.S. Senators Elizabeth Warren, Sherrod Brown, Robert Menendez and Brian Schatz requested that Inspector General Carl Hoecker investigate Acting SEC Chairman Michael Piwowar in a letter dated March 29, 2017. The letter notes that the Acting Chairman has directed the …

This Week In Securities Litigation (Week ending March 31, 2017) Read More »

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The Commission filed a settled financial fraud action centered on three restatements against a company and two of its officers last fall. It charged violations of Exchange Act Sections 10(b), 13(a), 13(b)(2)(A) and 13(b)(2)(B). The cooperating company settled, consenting to …

Two Restatements Results in Settled SEC Financial Fraud Charges Read More »

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