Month: April 2015

The SEC announced its first whistleblower award in a retaliation case this week. The agency also brought an insider trading case, an action against an investment adviser, its general counsel and auditor based on a conflict, a books and records …

This Week In Securities Litigation (Week ending May 1, 2015) Read More »

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Conflicts of interest are a central focus for the SEC. Indeed, conflicts are at the core of many of the actions brought against regulated entities. And, an undisclosed conflict was at the center of actions brought against a hedge fund, …

SEC Sanctions Adviser, and its CEO, GC and Auditor Based on Conflicts Read More »

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