Year: 2017

Undisclosed conflicts, fees and overcharges have become a recurring theme in Commission cases involving investment advisers. Frequently these cases arise out of inspections by OCIE. See, e.g., In the Matter of Credit Suisse Securities U.S.A), LLC, Adm. Proc. File No. …

Undisclosed Fees, Conflicts Yield SEC Sanctions for Adviser Read More »

Tagged with: , , ,

The Commission filed another in what has become a stream of offering fraud actions. This case sought to halt an offering – the last investor funds were deposited June 30, 2017 — in which investors were promised their funds would …

SEC Charges Cancer Fighting – Now Restaurant Firms With Fraud Read More »