SEC Charges Two Advisers With Fraud Tied to Retail Investors

The Commission filed another action centered on retail investors. In this case two employees of a well known Financial Institution took advantage of firm clients over a period of three years, defrauding them of thousands of dollars. SEC v. Polese,

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SEC, USAO Charge Six With Misappropriating PCAOB Data

The SEC and the U.S. Attorney’s Office for the Southern District of New York took the unusual step of charging six accounts from KPMG and/or the PCAOB with misappropriating and using confidential information from the Public Company Accounting Oversight Board

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