Month: July 2016

Investment advisers were at the center of a number of actions brought by the Commission this week . Two proceedings involved a registered adviser and its COO that were involved in an unregistered and fraudulent offering; two other actions centered …

This Week In Securities Litigation (Week ending July 22, 2016) Read More »

Tagged with: , , , , ,

The Manhattan U.S. Attorney’s Office secured a guilty plea in a stock manipulation case from a career securities law violator. The guilty plea is the fourth conviction for defendant John Galanis. U.S. v. Galanis, No. 1:15-cr-00643 (S.D.N.Y.). The case centers …

Career Securities Law Violator Pleads Guilty To Manipulation Read More »

Tagged with: ,