Month: July 2019

Traditionally the Enforcement Division’s case load centered on corporate and disclosure cases along with a mix of others. In recent years that mix has included a number of offering fraud actions whose victims are often small retail investors. More recently …

SEC Charges Advisor With Fraudulently Overcharging Clients Read More »

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Many SEC enforcement actions center on violations of the company or firm policies. A series of cases involving investment advisers, for example, have been filed in recent months based at least in part on the failure of the advisory to …

Ignoring Firm Policy and Data Ends With SEC Sanctions Read More »

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