Year: 2013

Another Market Professional Pleads Guilty To Misleading Investors

To cover his losses a fund manager sent false statements to investors, inducing them to stay in the fund as it incurred large losses

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This Week In Securities Litigation (Week ending April 19, 2013)

This week the SEC filed a settled FCPA case, partially settled another and brought insider trading cases while FINRA charged a broker with intimidation.

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