Tag: misappropriation

This Week In Securities Litigation (Week ending July 7, 2017)

In a holiday shortened week the Commission filed four actions: One arose from the failure of an adviser who arranged a transaction between two managed funds to honor the terms promised to one fund; a second charged the sister of

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This Week In Securities Litigation (Week ending April 21, 2017)

The Supreme Court heard argument this week in a case that may have a significant impact on remedies in SEC enforcement actions. In Kokesh v. SEC the High Court is considering whether the five year statute of limitations it previously

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