The Commission filed a series of cases as the half way point in the year approaches along with the Fourth of July holiday weekend. Those cases included: An action against a municipal adviser for failing to properly advise an issuer,…
Tag: breach of duty
This Week In Securities Litigation (Week ending June 28, 2019)
Tagged with: breach of duty, corruption, DOJ, FCPA, fraudulent offering, Insider trading, misrepresentation, money laundering, offering fraud, SEC
This Week In Securities Litigation (Week ending June 21, 2019)
Walmart settled its long running FCPA action this week, consenting to books, records and internal controls provisions with the SEC and entering into a non-prosecution agreement with DOJ. The firm paid over $280 million in connection with those settlements. The…
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