Tag: conflicts

The Commission is focusing its enforcement program, at least in part, on COVID-19. This week the regulator filed two fraud actions centered on solicitations by firms related to on virus. Neither case settled. A co-director of enforcement discussed these efforts …

This Week In Securities Litigation (Week of May 18, 2020) Read More »

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Risk is a much talked about concept these days, typically in the context of the pandemic regarding the virus. There it is difficult to assess the risk largely because of the unknowns. Risk was also a key issue for the …

This Week In Securities Litigation (Week of April 27, 2020) Read More »

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