The Commission filed a series of cases as the half way point in the year approaches along with the Fourth of July holiday weekend. Those cases included: An action against a municipal adviser for failing to properly advise an issuer,…
Tag: misrepresentation
This Week In Securities Litigation (Week ending June 28, 2019)
Tagged with: breach of duty, corruption, DOJ, FCPA, fraudulent offering, Insider trading, misrepresentation, money laundering, offering fraud, SEC
This Week In Securities Litigation (Week ending April 15, 2016)
Budget hearings were a focus this week as the Chair of the SEC and Chairman of the CFTC visited Capitol Hill. Both sought substantial increases, requesting more money for technology, inspections and enforcement. While the administration supports increases whether election…
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