Tag: corruption

This Week In Securities Litigation (Week ending Jan. 11, 2019)

The Government partial shutdown continued this week with no end in sight. That left the SEC with a skeletal staff handling essential matters such as litigation since the federal courts continue to operate even if their websites do not. Despite

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This Week In Securities Litigation (Week ending April 17, 2015)

Microcap fraud, misappropriation by investment advisers and offering fraud cases were the focus of SEC enforcement this week. The Commission filed a microcap fraud action centered on blank check companies involving ten individuals. Two new actions focused on misappropriation by

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