The SEC filed a series of actions in the last two weeks which included a break for the Thanksgiving holiday. One action focused on a Swiss investment firm giving advise in the U.S. without registering with the Commission. That case …
This Week In Securities Litigation (December 5, 2014) Read More »
The CEO and CFO of a successful senior living firm sought to expand the business by acquiring the operations of another firm and leasing its facilities. Despite warnings that the lease terms were far to onerous, the deal was concluded. …
How Falsifying Compliance With A Lease Became Securities Fraud Read More »