A new report by Cornerstone Research and NYU compares the number of Commission enforcement actions involving public companies and their subsidiaries brought in the first have of fiscal 2019 with prior years. While the number of cases initiated during the…
Tag: offering fraud
SEC Resolves Cross-Border Offering Fraud Action
Offering frauds are one of the key staples of SEC Enforcement. These cases may well be the largest single category of actions by the end of the fiscal year. That would, of course, be consistent with the retail investor focus…
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