Tag: unregistered securities

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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The SEC brought another custody rule action this week – against the outside auditors alleging that one examination was insufficient and the others incomplete thereby causing the client to violate the surprise audit requirement of the rule. failing the surprise …

This Week In Securities Litigation (The week ending June 26, 2015) Read More »

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