Year: 2017

SEC Prevails on Summary Judgment In Manipulation Case

The SEC prevailed on summary judgment in a manipulation case centered on the shares of a firm which operated under the name Marley Coffee — a name which linked back through Rohan Marley to his famous father, Bob Marley who

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This Week In Securities Litigation (Week ending June 2, 2017)

The Commission filed one settled administrative proceeding this week involving an investment adviser. The Order charged cherry picking, making misrepresentations to clients regarding certain fees and a failure to trade a fund in accord with the disclosed objectives. FINRA announced

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