Year: 2016

The Commission filed four actions last week. One action centered on a cherry picking scheme; a second focused on an adviser that failed to follow its own procedures regarding conflicts; a third involved an investment adviser who made repeated misrepresentations …

This Week In Securities Litigation (Week ending December 16, 2016) Read More »

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When investment advisers and brokers misrepresent the value of the account to a client it is frequently because something untoward has occurred – huge trading losses, misappropriation or other malfeasance. The Commission’s most recent case in this area however has …

SEC Charges Adviser With Concealing True Value of Accounts Read More »

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