Year: 2019

Commission enforcement actions involving market professionals tend to repeat. For example, many, if not most, of the cases brought against investment advisers focus on violations of the advisor’s procedures. In some instances, however, the Enforcement staff uncovers a violation and …

Commission Sanctions Merrill Re ADRs Read More »

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The SEC – Musk disputed continued this week. In the latest round, the Commission escalated the claims, alleging that Mr. Musk never complied with the Court’s order requiring that material communications about the auto maker be approved before dissemination. These …

This Week In Securities Litigation (Week ending March 22, 2019) Read More »

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