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Securities Fraud: When Pennies Count

Most securities fraud cases involve significant thefts from individual victims, like the alleged $64 billion Ponzi scheme run by Bernie Madoff. However, some cases show that fraudulent conduct involving small amounts of money can add up to millions of dollars of illicit profit if the conduct is allowed to continue over a long period. The… Read More »

Inside the Lawyers Studio: Media Coverage on Cases Involving Insider Trading

The Securities and Exchange Commission (SEC) defines illegal insider trading as “…buying or selling a security, in breach of a fiduciary duty or other relationship of trust and confidence, while in possession of material, nonpublic information about the security. Insider trading violations may also include “tipping” such information, securities trading by the person “tipped,” and… Read More »

Broken Dealer Audits: Accounting Deficiencies Uncovered by the PCAOB

The Public Company Accounting Oversight Board (PCAOB), the United States audit industry regulator, is supervised by the Securities and Exchange Commission. Last year, the PCAOB established an interim program to inspect the audits of broker-dealers. This program was long overdue and one of the steps taken to increase brokerage oversight after the Bernie Madoff scandal, where… Read More »