A new report on securities class actions records an increase in the number of filings in 2015. Most of those actions were brought against smaller issuers, according to the report. PWC, Small Companies, Big Targets – 2015 Securities Litigation Study …
Securities Class Action Filings 2015: More Cases, Small Issuers Read More »
The Commission brought another in a series of actions centered on ConvergEx Execution Solutions LLC and its affiliates. As with the prior actions, this one centered on secretly adding substantial commissions to transactions which were far higher than the normal …
SEC Files Another In A Series of Actions Tied to Secret Commissions Read More »