Year: 2017

The SEC prevailed on summary judgment in a manipulation case centered on the shares of a firm which operated under the name Marley Coffee — a name which linked back through Rohan Marley to his famous father, Bob Marley who …

SEC Prevails on Summary Judgment In Manipulation Case Read More »

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The Commission filed one settled administrative proceeding this week involving an investment adviser. The Order charged cherry picking, making misrepresentations to clients regarding certain fees and a failure to trade a fund in accord with the disclosed objectives. FINRA announced …

This Week In Securities Litigation (Week ending June 2, 2017) Read More »

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