In a week that ends with religious holidays, the Commission’s enforcement efforts focused on offering fraud cases and insider trading. One offering fraud action centered on a state registered investment adviser who solicited clients with tales about a MarketDNA trading…
Tag: SEC
Phony “MarketDNA” Claims Yield SEC Charges for Advisor
Cases involving investment advisers are rapidly becoming a key focus for SEC Enforcement. Offering fraud actions are another central focus. In both sets of cases retail investors are typically victimized, losing much of their hard earned savings and pension dollars.…
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