Year: 2017

“Sunlight is said to be the best of disinfectants” according to Justice Lewis Brandeis. That theme has long been one of the pillars of federal securities regulation. The point was recently emphasized in an action involving an investment adviser who …

11th Circuit Rejects SEC Finding That Misstatements Are Material Despite Disclaimers Read More »

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In a holiday shortened week the Commission filed four actions: One arose from the failure of an adviser who arranged a transaction between two managed funds to honor the terms promised to one fund; a second charged the sister of …

This Week In Securities Litigation (Week ending July 7, 2017) Read More »

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