Month: August 2012

As summer draws to a close, the Commission continued its work under Dodd-Frank, issuing a staff study on financial literacy. It focuses on what investors want to know about financial professionals and investment products. Proposed rules were also issued under …

This Week In Securities Litigation (Week ending August 31, 2012) Read More »

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Two Brazilian public pension funds and a Colombian institutional investor paid about $36 million in excessive mark ups in the latest fraudulent scheme uncovered by the SEC. Fabrizio Neves and Jose Luna, both registered representatives at now defunct Florida broker …

Two Brokers Charged With Defrauding Institutional Investors Read More »

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