Tag: cherry picking

SEC Files Two Cherry Picking Actions, Aided by Statistical Analysis

The Commission has continued to use statistical analysis to bolster its enforcement claims. One area in which this has been done is “cherry picking” cases. Two recently filed settled actions involving investment advisers are examples. In the Matter of Howarth

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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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