Year: 2018

SEC Sanctions 13 Private Fund Advisers For Filing Failures

Since at least the issuance of the report by the Commission’s Enforcement Division last November, the emphasis has been on retail investors and cyber. The “number of cases filed” focus of broken windows, which for years generated increasing numbers of

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This Week In Securities Litigation (Week ending June 1, 2018)

The retail investor focus of SEC Enforcement continued in this holiday shortened week. First, there was an action based on a microcap fraud. Then a case involving the so-called “blockchain evangelist” and a crypto currency fraud. Another case focused on

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