Tag: soft dollars

This Week In Securities Litigation (Week ending August 10, 2018)

The Commission, in conjunction with the Manhattan U.S. Attorney’s Office, filed an insider trading case against a sitting U.S. Congressman, his son and others. The case, based on a drug trial failure at a firm on whose board the Congressman

Tagged with: , , , ,

Adviser Charged by SEC in Cherry Picking Scheme

The SEC charges an investment adviser, its founder and the COO with fraud centered on a cherry picking scheme and the misuse of soft dollars.

Tagged with: , , ,
Top