Tag: investment adviser

Courts Give SEC Split Decisions on Same Day

March 29, 2018 was a significant day for the Commission. The agency obtained decisions in two different cases. In one, the Commission prevailed against two defendants in a bench trial held seven years ago arising from the market crisis. The

Tagged with: , , ,

SEC Asset Valuation Claims Rejected on Summary Judgment

The Commission lost virtually all claims in an asset valuation case brought against a fund and two of its officials. The action was one of several brought as part of the Commission’s Aberrational Performance Inquiry which, prior to this action,

Tagged with: , ,
Top