Tag: financial fraud

Last week the Commission filed a series of actions tied to the manner in which market professionals keep records. Those cases were resolved with admission to the underling charges and financial remedies. In addition, actions were filed based on an …

This Week In Securities Litigation (Week of February 12, 2024)

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This is the third segment of a four-part series on SEC enforcement trends during the third quarter of 2023. The first Part of the series focused on the number of cases filed by SEC enforcement during the quarter (here). It …

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