Month: May 2019

Corporate compliance is a critical issue for any firm. The DOJ and the SEC have each made it clear, for example, that compliance can have a significant impact on the resolution of investigations and possible charges. While neither the DOJ …

DOJ, Corporate Compliance, Deference and Law Enforcement Read More »

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In the days leading up to the Memorial Day holiday, the Commission filed a series of enforcement actions that focused on offering frauds and market manipulation. For example, one involved an offering fraud tied to a crypto currency. Another was …

This Week In Securities Litigation (Week ending May 24, 2019) Read More »

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