Month: March 2017

This week the Commission brought three actions. One, a financial fraud case, centered on one of Mexico’s largest home builder that inflated sales numbers. A second was brought against an investment adviser who failed to disclose certain conflicts arising from …

This Week In Securities Litigation (Week ending March 10, 2017) Read More »

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Financial fraud actions have long been a staple of SEC Enforcement. Following Arthur Levitt’s famous “Numbers Game” speech in 1997 for example, the Commission brought a series of blockbuster financial fraud actions that spurred the passage of The Sarbanes-Oxley Act …

The SEC, Financial Fraud and Restatements Read More »

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