Tag: false statements

I. Introduction This is the first of two articles discussing the cases initiated by the Commission’s Enforcement Division during the first quarter of 2022. While it is always prudent to be careful when analyzing the results from one quarter, properly …

SEC Enforcement: 1Q22 (Part I) Read More »

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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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