Month: February 2018

The Commission’s enforcement program continued its focus on retail customer protections this week. The agency filed settled administrative proceedings against a broker dealer – investment adviser based on a coding error which left the firm in violation of the customer …

SEC Continues Focus on Retail Customers Read More »

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Two new reports chronicle the significant upward trend not just in the number of securities class actions filed in 2017 but also the increased chance for U.S. and foreign issuers to be named in such a suit. See Cornerstone Research, …

Securities Class Action Filings Increase – For Now Read More »

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