Month: January 2022

This series reviews and analyzes Enforcement Actions brought by the Commission during the forth quarter of 2021. Part I essentially categorized the actions brought by the Division of Enforcement during 4Q21. This segment of the series – Part II – …

SEC Enforcement: 4Q21 (Part II) Read More »

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There is no doubt that 2021 continued to be dominated by the pandemic. The year did offer, however, the promise of mitigation from the inoculations. By year end in fact there was improvement for many and at least a partial …

SEC Enforcement: 4Q21 (Part I) Read More »

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