Month: March 2019

The retail focus of the Enforcement Division is translating into proceedings and cases involving investment advisers. Last year the second largest group of actions initiated by the Commission involved investment advisers. That trend seems to be continuing this year. Two …

SEC Sanctions Adviser Based on Conflicts, Sham Transaction Read More »

The Musk – SEC saga continued. This week Mr. Musk filed a response to the SEC’s papers seeking a contempt citation, not only arguing his position but blasting the agency. While the debate over the merits of the court proceedings …

This Week In Securities Litigation (Week ending March 15, 2019) Read More »

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