Tag: unprofessional conduct

In a holiday shortened week, the SEC brought actions involving: a financial fraud naming against the president of the firm who, assisted by two other officers named as defendants in an earlier Commission enforcement action, used sham agreements were used …

This Week In Securities Litigation (Week ending Nov. 25, 2016) Read More »

Tagged with: , , , ,

When Congress created the PCAOB many commentators thought that actions against accounting firms and their professionals would be handled by the Board rather than the SEC. While the Board does conduct investigations and bring enforcement actions, the Commission has continued …

SEC Charges Audit Firms With Unprofessional Conduct Read More »

Tagged with: , , ,