Tag: investment adviser

This Week In Securities Litigation (Week ending Feb. 1, 2019)

The first week back after the shutdown was undoubtedly busy for the Enforcement Division and the entire Commission. Whether the government is going to continue past February 15 or not remains an open question and an issue which has all

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This Week In Securities Litigation (Week ending June 8, 2018)

Offering frauds, conflicts and filings regarding private funds were the focus of SEC Enforcement over the past week. Two offering fraud actions were brought, one centered on the use of sound in oil production and the other based on a

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