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Month: October 2014

Posted on by T. Gorman Posted in SECActions

The Commission brought a series of administrative proceedings this week and one civil injunctive action. The civil injunctive action was an insider trading case. The administrative proceedings centered on FCPA violations, the custody rule, churning, Rule 105, internal controls, a …

This Week In Securities Litigation (Week ending October 31, 2014) Read More »

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Posted on by T. Gorman Posted in SECActions

The SEC has brought a number of custody rule cases as part of its broken windows initiative. Its newest proceeding centered on the custody rule, however, is a contested administrative proceeding which names as Respondents an adviser, its two principals, …

SEC Charges Recidivist Adviser, Co-Founders With Violations of Custody Rule Read More »

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