Month: November 2018

The Commission brought one civil enforcement action this week. The case centers on a boiler room and the manipulation of a penny stock over a three year period. The action, and the parallel criminal case, are related to similar actions …

This Week In Securities Litigation (Week ending Nov. 16, 2018) Read More »

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In Kokesh the Supreme Court held that the statute of limitations applies to disgorgement in SEC enforcement actions. Accordingly, if the agency fails to initiate its action in a timely fashion requests for disgorgement may be time barred. No such …

Time Limits and SEC Enforcement Actions Read More »

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