Tag: unregistered securities

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 »

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The Commission filed two settled FCPA cases this week. On was resolved with the payment of almost $800 million to the SEC, DOJ and Dutch regulators where about $114 million in bribes were paid. The other centered on the payment …

This Week In Securities Litigation (Week ending February 19, 2016) Read More »

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