Following the erratic stock market swings fueled by the COVID-19 crisis, attorneys expect a surge in U.S. Securities and Exchange Commission investigations tackling a broad range of potential violations, from outright fraud to disclosure issues.
The SEC will put investment firms, broker-dealers and public companies under the microscope, closely examining the activities of corporate insiders, fund investment guidelines and risk disclosures — in some cases likely revealing problems that predate the pandemic by months or years, attorneys said.
‘Enforcement 40’ for 2020
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