Month: August 2020

Financial fraud has long been a key area for SEC Enforcement. Despite efforts such as forming a new task force, few significant financial fraud actions have been filed in recent years. Nevertheless, on the last day of July the Commission …

SEC Obtains $45 Million Penalty in Financial Fraud Action Read More »

The Commission created a new task force within OCIE this week to assess emerging risk. It is portrayed as a compliment to the current inspection program, apparently designed to try and get ahead of the curve on new issues that …

This Week In Securities Litigation (Week of August 3, 2020) Read More »

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