Tag: procedures

This Week In Securities Litigation (Week ending December 16, 2016)

The Commission filed four actions last week. One action centered on a cherry picking scheme; a second focused on an adviser that failed to follow its own procedures regarding conflicts; a third involved an investment adviser who made repeated misrepresentations

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This Week In Securities Litigation (Week ending Oct. 14, 2016)

The Commission announced the filing of a record number of enforcement actions for the last fiscal year. The enforcement statistics highlight areas of concentration such as insider trading, investment advisers and private equity funds. The agency also brought three enforcement

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