Year: 2019

A key focus of SEC enforcement has been the retail investor. To that end the Division formed a special unit to focus on cases tied to those investors. Numerous cases have been brought. That focus may also be at least …

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In the future the Commission appears to be facing heavy headwinds. One critical question is always the budget. The budget published earlier this year was at $705 million. Whether that amount will be approved is unclear. There are also questions …

This Week In Securities Litigation (Week of Nov. 18, 2019) Read More »