Month: October 2016

The Commission filed another action in which admissions were required as part of the settlement. The proceeding named as Respondents a foreign bank and two of subsidiaries. Respondents variously acted as unregistered brokers and/or an unregistered investment adviser while taking …

This Week In Securities Litigation (Week ending Oct. 21, 2016) Read More »

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Sometimes it can be difficult to do the right thing. For example, in the SEC’s latest case involving an investment adviser, a valuation error was discovered. A correction was made. The investors were compensated. The adviser, however, failed to follow …

SEC Charges Adviser With Improper Valuation Read More »

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