Year: 2020

The critical question moving forward for the SEC is the ruling in Liu v. SEC, a case heard by the Supreme Court this week. Potentially the ruling will determine if the Commission can seek disgorgement in civil injunctive actions and, …

This Week In Securities Litigation (Week of March 9, 2020) Read More »

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Frequently the retail investor focus of the Enforcement Division results in offering fraud actions – those in which investors are convinced to purchase shares in fraudulent offerings of securities. Another facet of the retail investor focus, however, can be seen …

Unregistered Brokers – Another Key to Protecting Retail Investors Read More »

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