Month: September 2016

In the two weeks spanning the Labor Day weekend, the Commission continued bring cases arising from its inspection program. Two new actions alleging inadequate procedures regarding the disclosure of additional trading away fees incurred by customers in wrap fee programs …

This Week In Securities Litigation (Two Weeks ending Sept. 9, 2016) Read More »

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When it is to good to be true, it almost always is. But returns of 53% to 120%, backed by millions of ounces of gold and bonds from the U.S. and Bank of America? Too hard to resist. Investors paid …

SEC Charges Promoters of Notes Backed by Gold Mine, U.S. Read More »

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