Tag: investment advisers

This Week In Securities Litigation (Week ending Nov. 23, 2018)

During the week leading up to the Thanksgiving holiday, and the day after, the Commission filed two actions centered on initial coin offerings. Those actions, involving coin offerings that follow the issuance of the DAO section 21(a) report, set a

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Investment Adviser to Sports Stars Sentenced to 120 Months in Prison

An analysis of the SEC Enforcement Division’s workload over the last several years clearly reflects and increasing focus on investment advisers. The trend traces back beyond the current Commission and ties to the development of a close working relationship between

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