Year: 2018

A key focus of the Commission and its Enforcement program is retail investors. This has resulted, in part, in a significant number of actions against investment advisers. This week is no exception. Four settled actions were brought based on the …

SEC Focus on Retail Investors Yields Actions Against Advisers Read More »

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Insider trading has long been a key focus of the Commission as well as the DOJ. Over the years the courts have developed, refined, defined and re-defined the elements. Despite the plethora of often complex judicial opinions the basic offense …

Three Insider Trading Cases Read More »

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