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Posted on by T. Gorman Posted in SECActions

The Commission and the DOJ resolved FCPA charges that resulted in the payment of penalties totaling $850 million. The case, centered on a Russian communications firm and bribes paid in Uzberkistan, is the third in a series of corruption cases …

This Week In Securities Litigation (Week ending March 8, 2019) Read More »

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Posted on by T. Gorman Posted in SECActions

The standards by which issuers or market professionals are governed are critical. Those standards guide the dealings of investment advisers, for example, entrusted by clients with their capital. It is for this reason that many of the Commission’s enforcement actions …

SEC Sanctions CFO For Breach of Firm’s RPT Procedures Read More »

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