Tag: wrap fees

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

The nomination of Jay Clayton as the next SEC Chairman moved forward in the Senate this week. The Senate Banking Committee approved Mr. Clayton by a vote of 15 to 8 with three Democrats joining the Republicans in the majority.

Posted in SECActions Tagged with: , , , ,

This Week In Securities Litigation (Week ending March 17, 2017)

The Commission brought two insider trading cases this week, one which is being litigated and another that settled prior to filing. The agency also brought a financial fraud action against five firm executives who essentially devised a series of schemes

Posted in SECActions Tagged with: , , , ,