While retail customers and cyber may be key areas for a refocused SEC enforcement program, financial fraud remains a critical and important area of concentration. This focus is will illustrated by the recent action filed against an issuer and four …
Company Officers Litigating Financial Fraud Action With SEC Read More »
The Commission’s focus on retail investors is reflected in cases filed this week. One involved the manipulation of securities prices by gaining unauthorized access to retail accounts and then trading securities. Another involved charging customers excessive fees by Merrill Lynch …
This Week In Securities Litigation (Week ending Nov. 3, 2017) Read More »