Tag: disclosure

The SEC Continues to Focus on Retail Investors and Investment Advisers

The continued focus of SEC Enforcement on retail investors is translating into increased numbers of actions being brought against investment advisers. Two more examples of this trend are the following: In the Matter of VSS Fund Management LLC, Adm. Proc.

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This Week In Securities Litigation (Week ending Dec. 22, 2017)

Merrill Lynch settled proceedings with the Commission, agreeing to pay a $13 million penalty for failing to have adequate AML procedures with regard to the variety of services it offers clients such as ATMs and money transfers. The Commission also

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