On September 13, 2022, the U.S. Securities and Exchange Commission (“SEC”) announced a settlement with investment advisory firm Buckman Advisory Group LLC (“Buckman Advisory”) and its CEO Harry Buckman Jr. to settle...more
9/22/2022
/ Bonds ,
Cease and Desist ,
Cherry Picking ,
Elon Musk ,
Enforcement Actions ,
Investment Adviser ,
Misrepresentation ,
MSRB ,
Municipal Bonds ,
Rule 10b-5 ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Violations ,
Settlement ,
Twitter ,
Underwriting ,
Whistleblowers
On June 14, 2022, the U.S. Court of Appeals for the Third Circuit affirmed the dismissal of a securities suit brought by investors in pharmaceutical company, Amarin Corporation, PLC, holding that the investors had failed to...more
7/1/2022
/ Blockchain ,
Board of Directors ,
Class Action ,
Dismissals ,
False Statements ,
Food and Drug Administration (FDA) ,
Government Investigations ,
Misleading Statements ,
Putative Class Actions ,
Rule 10b-5 ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Litigation ,
Securities Violations ,
Shareholder Litigation ,
Subpoenas