Month: September 2015

In a burst of post-Labor Day energy, the SEC filed a number of significant actions. Those include a series of actions arising out of the audit failure by BDO; actions centered on a financial fraud at an on-line lender; cases …

This Week In Securities Litigation (Two weeks ending September 11, 2015) Read More »

Tagged with: , , , , , ,

The SEC has long sought to enlist professionals as the advance guard of its Enforcement Division. The point is understandable: auditors, attorneys and other professional consultants are typically at the company long before Commission investigators and often have a better …

The SEC, Gatekeepers and Saying Something Read More »

Tagged with: , , , ,