Tag: compliance

The Commission has long enforced its ethical rules as to the wide variety of professionals who appear and practice before it. While in years past the enforcement of those rules against professionals was controversial, today enforcing ethical rules as to …

Compliance Attorney Barred from Practice Before the Commission

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Leading up to what turned out to be a sweltering holiday weekend in many areas the Commission filed actions focused on: investment fraud, a Ponzi scheme and compliance. Be careful this week, be safe this week SEC Enforcement – Filed …

This Week In Securities Litigation (Week of September 5,2022) Read More »

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