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 »
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 »
