Month: October 2012

The focus this week was on white collar criminal securities cases. First, Rajat Gjupta, the former Goldman Sachs director convicted of passing confidential information to former hedge fund mogul Raja Rajartnam was sentenced. Second, Mr. Rajartnam’s appeal of his conviction …

This Week In Securities Litigation (Week ending October 26, 2012) Read More »

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David Lerner Associates, a private investment company which claims to have $9 billion in assets under management, David Lerner, its founder, and William Mason, its head trader, were sanctioned by FINRA. The charges and sanctions relate to unfair sales practices …

FINRA Sanctions Adviser, Founder and Head Trader Read More »

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