Month: February 2024

Last week the Commission filed a series of actions tied to the manner in which market professionals keep records. Those cases were resolved with admission to the underling charges and financial remedies. In addition, actions were filed based on an …

This Week In Securities Litigation (Week of February 12, 2024)

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This is Part II of a four-part series analyzing trends in SEC Enforcement during the fourth quarter of 2023. Part I, published earlier this week, noted that during the quarter SEC Enforcement filed 43 new enforcement actions. The three largest …

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