During the current partial government shutdown when few SEC Enforcement actions are being filed or settled it may be a good time to begin considering the future of the program. The Division has repeatedly announced that its focus is retail …
Month: January 2019
The Future Course of SEC Enforcement
Tagged with: disgorgement, Emules, Kokesh, Lorenzo, Lucia, Primary liability, SEC, state of mind, venue
This Week In Securities Litigation (Week ending Jan. 18, 2019)
The partial government shutdown continues, leaving agencies such as the SEC virtually dark. Nevertheless, the Commission issued and order this week and filed three new actions. The most significant charged those who hacked EDGAR with fraud. A parallel action was …
This Week In Securities Litigation (Week ending Jan. 18, 2019) Read More »