Year: 2017

Mismarking or misquoting securities can defraud market participants and harm the markets. It seems to be a recurring theme in recent weeks. See, e.g., SEC v. Im, Civil Action No. 1:17-cv-03603 (S.D.N.Y. Filed May 15, 2017)(action against Nomura traders for …

Portfolio Manager Sentenced to Prison In Mismarking Scheme Read More »

Financial fraud has long been a key SEC enforcement priority. The Commission’s most recent case in the area centered incorrect financial statements tied to the premature recognition of revenue reflecting errors and a failure to determine the correct accounting principles. …

SEC Resolves Financial Fraud Action Read More »

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