Tag: unregistered securities

The Commission, along with the DOJ, filed a settled FCPA action against aircraft manufacturer Embraer. The action centered on bribes paid in multiple countries to facilitate the sale of aircraft. The agency also brought an insider trading action against a …

This Week In Securities Litigation (Week ending Oct. 28, 2016) Read More »

Tagged with: , , , , , ,

The Commission filed two administrative proceedings this week. One centers on false entries made in the books and records of a broker dealer. It will be set for hearing. In the Matter of Jason Maiher, Adm. Proc. File No. 3-17126 …

SEC Files Financial Fraud and Unregistered Securities Actions Read More »

Tagged with: , , ,