Year: 2016

In the week leading up to the July 4th holiday weekend the SEC filed an action alleging insider trading centered on the acquisition of a firm by Apple based largely on circumstantial evidence and outsized trading. Another action brought by …

This Week In Securities Litigation (Week ending June 30, 2016) Read More »

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The Commission filed two proceedings centered on investment advisers. One is based on improper fee and trading practices. The second is based on the misappropriation of funds from pooled investment vehicles by the adviser. In the Matter of WFG Advisors, …

SEC Files Two Proceedings Against Investment Advisers Read More »

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