Year: 2015

The SEC filed a settled action involving a registered investment adviser that made false statements in marketing materials about a strategy utilized by a sub-adviser. The adviser failed to evaluate statements in the materials and ignored red flags. In the …

Adviser Settles False Performance Claims With SEC Read More »

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The SEC prevailed on summary judgment in an action against Brett Cooper and his related companies centered on three fraudulent schemes. SEC v. Cooper, Civil Action No. 1:13-cv-05781 (D.N.J. ). The first, according to the complaint, was a prime bank …

SEC Prevails on Summary Judgment in Prime Bank Fraud Action Read More »

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