Year: 2011

THIS WEEK IN SECURITIES LITIGATION (August 26, 2011)

The price of gold continues to spiral upward this weeks while the European banking crisis continued. As the crisis has unfolded European regulators took steps to preclude the short sale of shares in financial institutions. At the same time FINRA

FINANCIAL ADVISER SENTENCED TO PRISON FOR SECURITIES FRAUD

A former Smith Barney financial adviser, Sanjeev Jayant Kumar Shah, was sentenced to serve thirty-eight months in prison for securities fraud in connection with the handling of two client accounts. Mr. Shah pleaded guilty to one count of securities fraud

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