Year: 2017

The Commission has brought a series of cases involving investment advisers, broker-dealers and the fees charges to clients. Typically the clients are disadvantaged by not being informed about or given the opportunity to purchase mutual fund shares at the most …

SEC Sanctions UBS Re Sales Practices Read More »

Tagged with: , ,

In the U.K. three F.H. Bertling executives were sentenced on corruption charges. An HSBC senior executive based in London was convicted by a New York jury for front running a client in the currency markets. The Commission issued no action …

This Week In Securities Litigation (Week ending Oct. 27, 2017) Read More »

Tagged with: , , , ,