Tag: unregistered securities

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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Gatekeepers are a critical focus for SEC enforcement. Lawyers, accountants and other professional are often at the scene and, in many instances, can be either key to halting, or in some instances implementing a wrongful scheme. The latter is clearly …

SEC: Gatekeeper Facilitates Unlawful Stock Sales Read More »

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