Year: 2016

SEC Charges Adviser, Principals With Financial Fraud

A complex structure, attractive interest rates, a history of payments to investors and omissions about the opaque finances of the group of firms aided promoters in raising over $350 million from investors as the business collapsed. SEC v. Aequitas Management,

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This Week In Securities Litigation (Week ending March 11, 2016)

This week the SEC brought six actions tied to the failure of a rapidly growing enterprise to maintain the proper internal controls. The agency also brought two proceedings tied to municipal bond offerings and one insider trading case. SEC Enforcement

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