Year: 2021

The Commission approved a NASDAQ proposal last week that was designed to “champion inclusive growth and prosperity . . .” by adding certain diversity requirements to its listing standards. The initial proposal would have required firms listed on Nasdaq Global …

This Week In Securities Litigation (Week of August 16, 2021) Read More »

Tagged with: , ,

Many of the cases brought recently by the Commission have been either offering fraud or microcap issuer cases with the latter often centered on pump-and-dump manipulations. These cases typically fleece unsuspecting investors who purchase what appear to be inexpensive securities …

The Conclusion of a Long Running Pay-to-Play Case Read More »

Tagged with: ,