Tag: SEC

The Commission undertook a series of actions related to enforcement last week reflecting either new cases filed, or actions taken with respect to pending cases. The actions involved cases based on the following topics: acting as a broker without registration; …

This Week In Securities Litigation  (Week of July 28, 2025)   Read More »

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The purpose of making filings with the Commission such as Form 8-K is to inform shareholders, the markets and investors about material transactions involving the filer.  In contrast, when false information is injected into the filings the system is thwarted …

The Impact of False Filings Read More »

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