The first quarter of 2020 ended with the markets plummeting to new lows and much of the country shuttered in an effort to avoid transmitting a the COVID – 19 virus. SEC Enforcement finished the quarter by not filing any …

The SEC’s First Quarter: A Review Read More »

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The critical question moving forward for the SEC is the ruling in Liu v. SEC, a case heard by the Supreme Court this week. Potentially the ruling will determine if the Commission can seek disgorgement in civil injunctive actions and, …

This Week In Securities Litigation (Week of March 9, 2020) Read More »

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