• Home
  • About
  • ‘Enforcement 40’ for 2020
  • Webcasts
  • Enforcement Hall of Fame
  • Past Events
  • Contact
Securities Docket
  • Class Actions
  • Criminal
  • Events
  • Features
  • Global
  • People
  • SEC
Browse: Home / 2019 / March / 28 / Supreme Court backs SEC, rules against investment banker

Supreme Court backs SEC, rules against investment banker

By Securities Docket on March 28, 2019, 8:15 am

The U.S. Supreme Court reinforced the Securities and Exchange Commission’s powers, upholding sanctions against an investment banker found to have duped investors about a startup company’s financial condition.

The justices, voting 6-2, said Francis V. Lorenzo, who worked at Charles Vista, could be held liable for taking part in a scheme to defraud investors even if he didn’t write two deceptive emails at the center of the case.

via Supreme Court backs SEC, rules against investment banker.

Posted in SEC, Top | Tagged Supreme Court

« Previous Next »

Subscribe

‘Enforcement 40’ for 2020

Our Sponsors

Securities-Docket_260x125_14Sec

Join Us On LinkedIn

Join the Securities Litigation and Enforcement Group on LinkedIn

Archives

Copyright © 2023 Securities Docket.

  • Home
  • About
  • ‘Enforcement 40’ for 2020
  • Webcasts
  • Enforcement Hall of Fame
  • Contact
  • Criminal
  • Class Actions
  • Features
  • Global
  • People
  • SEC
  • Events