Year: 2018

SEC Charges Another Adviser With Failing to Disclose Conflicts

Last week began and ended in the same way for the Commission’s Enforcement Division – with settled proceedings based on adviser conflicts built on false statements that disadvantaged clients. At the beginning of the week the Commission announced the settlement

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This Week In Securities Litigation (Week ending August 24, 2018)

The stay of contested administrative proceedings ended this week. The Commission entered an order lifting the stay which has been in place since the Supreme Court handed down Lucia. The Order ratifies the appointment of its ALJs and directs that

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