Tag: audit failure

The Commission prevailed at trial this week, securing a favorable verdict after a two week jury trial. The action centered on false statements made by an executive regarding regulatory approvals for the only drug of the company. The agency also …

This Week In Securities Litigation (Week ending May 6, 2016) Read More »

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The SEC requested comment on the development of a consolidated audit trail this week, a concept long discussed. The audit trail would enable regulators to track trading activity in the U.S. markets. Enforcement initiated proceedings which included two centered on …

This Week In Securities Litigation (Week ending April 29, 2016) Read More »

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