Tag: trends

Last week the Commission filed four new actions. One centered on a misappropriation claim involving an investment adviser, two were tied to false statements allegations while the fourth was a new case involved misstatements by an adviser. The agency also …

This Week In Securities Litigation (Week of January 29, 2024)

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The work of the SEC Enforcement Division during the third quarter of 2022 is impressive. The numbers and cases initiated during the period reflects a program reaching out to cover the vast U.S. capital markets. That effort should reassure not …

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