Tag: disclosure

The “broken windows” approach to enforcement is alive, well and continuing. This time the Commission bundled together three groups of actions and eight proceedings, all centered on a failure to update disclosures tied to going private transactions: In the Matter …

Broken Windows Continues: SEC Brings Group of Actions Centered on Section 13(d)(2) Violations Read More »

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The SEC named ratings giant Standard & Poor’s in three actions this week and one of its senior executives in another. The firm settled all three actions, admitting to a series of facts but not violations of the law in …

This Week In Securities Litigation (Week ending January 23, 2015) Read More »

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