The Commission prevailed on a motion for partial summary judgment in an offering fraud action. The agency won a ruling concluding that certain defendants acted as unregistered brokers in violation of Exchange Act Section 15(a) and that the joint venture …
Year: 2017
This Week In Securities Litigation (Week ending May 5, 2017)
Jay Clayton was confirmed by the Senate this week and sworn in as the new SEC Chairman. This gives the agency three Commissioners, although Commissioner Stein’s term ends in June. If the President does not appoint another Commissioner who is …
This Week In Securities Litigation (Week ending May 5, 2017) Read More »
