‘Enforcement 40’ for 2020
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By Securities Docket on April 4, 2018, 3:11 pm
The alert includes an audio recording of an actual imposter making a fraudulent pitch, excerpted below: “…I’m a senior compliance officer with the Securities and Exchange Commission… I am confirming a buy order from Mr. [REDACTED], who is a portfolio manager of [REDACTED]…in accordance to the regulations that are set forth by the Securities and […]
By Securities Docket on April 4, 2018, 10:37 am
As I have often noted (for example, here), a company’s announcement that it is the subject of an FCPA-related investigation frequently leads to the filing of a follow-on civil lawsuit in which investor claimants allege either that the company’s senior officials have violated their oversight duties or that the company’s public disclosure statements were insufficient […]