Insider trading and microcap fraud actions were the focus of SEC Enforcement this week. The Commission filed two insider trading actions. One involved a spouse who misappropriated inside information about the acquisition of Whole Foods, Inc. by Amazon, Inc. A…
Tag: audit failure
This Week In Securities Litigation (Holiday edition – period from December 23, 2016 to January 6, 2017)
Questions regarding the validity of SEC ALJs continue to be a key focus for SEC enforcement. The Tenth Circuit concluded that the retention of SEC ALJs violated the Constitution’s Appointment Clause, setting up a potential conflict in the circuits that…
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