Month: November 2018

An analysis of the SEC Enforcement Division’s workload over the last several years clearly reflects and increasing focus on investment advisers. The trend traces back beyond the current Commission and ties to the development of a close working relationship between …

Investment Adviser to Sports Stars Sentenced to 120 Months in Prison Read More »

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It has long been said that we cannot escape death and taxes. That old slogan seems clearly true. It may, however, be incomplete. It may be time to amend it to read that “we cannot escape death, taxes and the …

Even Death Cannot Stop the DOJ Read More »

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