This is the third segment of an occasional series regarding a group of criminal and civil securities fraud actions involving trading in opaque markets and the lessons that can be drawn them; the first segment is here and the second …
Trading in Opaque Markets: Fraud, Materiality and Compliance Read More »
The Commission filed actions against investment advisers or their associates this week involving: compliance issues tied to political intelligence regarding government agencies like CMS; another centered on the payment of excessive fees; and a third involving unauthorized transactions. Municipal securities …
This Week In Securities Litigation (Week ending August 25, 2017) Read More »