Month: March 2019

The Commission and the DOJ resolved FCPA charges that resulted in the payment of penalties totaling $850 million. The case, centered on a Russian communications firm and bribes paid in Uzberkistan, is the third in a series of corruption cases …

This Week In Securities Litigation (Week ending March 8, 2019) Read More »

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The retail brokerage focus of the Enforcement Division is readily apparent in its latest case. There a dual registered investment adviser broker-dealer misrepresented its services and charges to clients, repeatedly over-charging and under serving them for years. The disgorgement, prejudgment …

SEC, Advisor-Broker Settle Retail Customer Overcharges Read More »

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