Tag: conflicts

Brokers and other professionals are frequently involved in situations where they have the authority to make choices on behalf of clients. In making those choices there is frequently a conflict between the best interest of the client and the self-interest …

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Investment advisers are frequently named as defendants or respondents in actions initiated by the Commission. Indeed, cases involving advisers are often one of the largest groups of enforcement actions brought by the agency. The predicate for this trend is, in …

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