This Week In Securities Litigation (Week of March 25, 2024)
Last week the Commission filed three new cases. One centered on unprofessional conduct. A second involved false statements. The third centeredon misrepresentations. Be careful, be safe this week. SEC Enforcement – Filed and Settled Actions Statistics: This week the Commission …
This Week In Securities Litigation (Week of March 25, 2024)
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Compliance Attorney Barred from Practice Before the Commission
The Commission has long enforced its ethical rules as to the wide variety of professionals who appear and practice before it. While in years past the enforcement of those rules against professionals was controversial, today enforcing ethical rules as to …
Compliance Attorney Barred from Practice Before the Commission
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