Tag: false statements

The Commission launched an enforcement action this week against family office Archegos. The Department of Justice and the CFTC also filed actions against the firm. While investment advisers have long been key targets of enforcement officials, the same cannot be …

This Week In Securities Litigation (Week of May 2, 2022) Read More »

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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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