Month: May 2016

Professional athletes and high net worth individuals who seek concierge type advisory services can become the victims of the advisers they trust to manage their affairs. One such case was SFX Financial Advisory Management Enterprises, Inc., Adm. Proc. File No. …

SEC Charges Provider of “Premier” Advisory Services with Fraud Read More »

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The Commission prevailed at trial this week, securing a favorable verdict after a two week jury trial. The action centered on false statements made by an executive regarding regulatory approvals for the only drug of the company. The agency also …

This Week In Securities Litigation (Week ending May 6, 2016) Read More »

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