Offering frauds are one of the largest groups of cases regularly filed by the SEC’s Division of Enforcement. While the actions take on various forms, typically investors are induced to part with their investment funds by offers that are too …
Offering frauds are one of the largest groups of cases regularly filed by the SEC’s Division of Enforcement. While the actions take on various forms, typically investors are induced to part with their investment funds by offers that are too …
Last week was peppered with huge headlines. First, The Commission, CFTC and DOJ filed charges tied to the collapse of FTX. That was followed another agency action charging social influencers with market manipulation, a case sure to impact social media. …
This Week In Securities Litigation (Week of December 19, 2022) Read More »
The Public Company Accounting Oversight Board declared victory yesterday in the battle to inspect audit workpapers for China based issuers whose shares are listed on U.S. exchanges, according to a press release dated December 15, 2022. Specifically, the release headline …
Things change, at least sometimes. Take Crypto assets. They began as a way to “get off the grid.” Over time some came on to the grid as their popularity increased. Others stayed off. And still others began trading at venues …
FTX – Billions of Dollars to A Firm With No Controls Read More »
FTX continues to be a key story this week with its founder still giving interviews. The crash of the crypto exchange may soon give way to a proposed new plan from the SEC. Chair Gensler is reported to be about …
This Week In Securities Litigation (Week of December 12, 2022) Read More »
Part I of this series presented basic statistics for the third quarter of this year – the number of cases filed as well as the largest areas of concentration (here). Part II presented examples of the cases in each of …
SEC Enforcement 3Q22, A “Cop on Every Corner” Presence in the Market – Conclusion Read More »
Part I of this series presented basic statistics for the third quarter of this year – the number of cases as well as the largest areas of concentration (here). Part II presented examples of the cases in each of the …
SEC Enforcement 3Q22 – A “Cop on Every Corner” Presence in the Market, Part III Read More »
The FTX saga continued last week with the firm’s founder giving interviews while disregarding advice he apparently was given. While the interviews were being conducted, the CFTC was urging Congress to give it more authority over crypto assets. The SEC …
This Week In Securities Litigation (Week of December 5, 2022) Read More »
Part I of this series, which was divided into two areas, presented the overall case statistics for the third quarter of 2022. During that the Division of Enforcement filed a total of 202 new cases. The majority of those cases …
SEC Enforcement 3Q22 – A “Cop on Every Corner” Presence in the Market, Part II Read More »
I. Introduction While the pandemic continues, relegating Washington D.C. to a shadow of what the city once was like, it is not hindering the filing of new cases by the Commission. The SEC Headquarters office may be largely empty; Chair …
SEC Enforcement 3Q22 – A “Cop on Every Corner” Presence in the Market – Part I Read More »