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Posted on by T. Gorman Posted in SECActions

The Whistleblower Program became a matter of discussion among the Commissioners last week. Chair Gensler directed the staff to prepare potential revisions regarding two points adopted last fall. One concerned awards where an enforcement action was brought by another agency. …

This Week In Securities Litigation (Week of August 9, 2021) Read More »

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Posted on by T. Gorman Posted in SECActions

A Florida jury found against the SEC on all but one count of a multi-count complaint centered on charges that Spartan Securities Ltd. and others ran what was alleged to be a “shell creation” factory. The trial lasted for thirteen …

Jury Rejects SEC “Shell Creation” Claims Read More »

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