Month: May 2019

On Monday, June 3, 2019, the Commission will celebrate its 85th anniversary. At the same time the SEC Historical Society, a virtual museum dedicated to the history of financial regulation, will celebrate the 20th anniversary of its founding. Last week …

This Week In Securities Litigation (Week ending May 31, 2019) Read More »

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The retail investor focus of SEC Enforcement has accelerated the recent trend of filing actions against investment advisers. Indeed, the number actions involving advisers has steadily increased to the point where it may eclipse those of all other categories. That …

SEC — Advisor Overcharged Clients Read More »

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