Tag: financial fraud

The debate at the Commission as July sizzled to a close is over complex products. The agency has brought enforcement actions in this area when investors purchased complex products recommended by a market professional and the firm’s policies and procedures …

This Week In Securities Litigation (August 1, 2022) Read More »

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Two items dominated the news this week. One involves the new crypto asset bill crafted on Capital Hill. That bill proposes a new regulatory path for the industry largely under the CFTC. The second is the remarks of SEC Chair …

This Week In Securities Litigation (Week of June 13, 2022) Read More »

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