Year: 2018

The Commission has been bringing an increasing number of cases involving models and statistical analysis. Those cases have ranged from cherry picking actions involving investment advisers who disproportionately allocate losing trades to clients and profitable ones to themselves as demonstrated …

Walgreens, Executives Sanctioned By SEC For False Projections Read More »

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In mid-September the Commission settled an action centered on a false claim by a dark pool operator that high frequency traders were not permitted in the venue. In the Matter of Citigroup Global Markets, Inc., Adm. Proc. File No. 3-18766 …

SEC Sanctions Credit Suisse For Inaccurate Marketing Read More »

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