Enforcement Co-Directors Stephanie Avakian and Steven Peikin recently addressed notable enforcement decisions, actions and trends affecting public companies and regulated entities.
On April 8 and 9, 2019, the US Securities...more
4/17/2019
/ Enforcement Actions ,
False Statements ,
Intent to Defraud ,
Investment Adviser ,
Lorenzo v SEC ,
Publicly-Traded Companies ,
Retail Investors ,
Rule 10b-5 ,
SCOTUS ,
Securities and Exchange Commission (SEC) ,
Securities Violations ,
Token Sales ,
Unregistered Securities