The Supreme Court granted certiorari in a significant securities case on Friday. Erica P. John Fund, Inc. v. Halliburton Co, No. 09-1403. The question the Court agreed to consider focuses on whether plaintiffs in a securities fraud class action must …
Year: 2011
PORTFOLIO MANAGERS SANCTIONED FOR CHARGING UNAUTHORIZED FEES
Unauthorized and undisclosed “credit monitoring” fees and conflicts of interest are the predicate for administrative proceedings and sanctions against two former portfolio managers. In the Matter of Kimball L. Young, File No. 3-1418 (Jan. 7, 2011); In the Matter of …
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