Year: 2015

Self-dealing and undisclosed conflicts are a central theme of many of the enforcement actions brought recently by the SEC. Those themes are the predicate for the Commission’s action which centers on an investment manager who controlled a group of entities …

Another SEC Offering Fraud Centered On Conflicts Read More »

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The Commission filed another action in which admissions were required as part of the settlement. The action centeres on an investment adviser who misappropriated just under $2 million from his clients. As part of the settlement he admitted the theft. …

IA Admits Theft to Settle SEC Fraud Charges Read More »

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