2019 – SEC ACTIONS

SEC, Private Firm Settle Charges Tied to Faulty Systems

Posted on April 21, 2019 by T. Gorman Posted in SECActions

The importance of firm support systems such as computer programs has repeatedly been highlighted by Commission enforcement actions. The agency has periodically initiated actions charging market participants such as brokerage firms and others with violations of the federal securities laws …

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This Week In Securities Litigation (Week ending April 19, 2019)

Posted on April 19, 2019 by T. Gorman Posted in SECActions

In a week that ends with religious holidays, the Commission’s enforcement efforts focused on offering fraud cases and insider trading. One offering fraud action centered on a state registered investment adviser who solicited clients with tales about a MarketDNA trading …

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Tagged with: Insider trading, offering fraud, SEC

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Year: 2019

SEC, Private Firm Settle Charges Tied to Faulty Systems

This Week In Securities Litigation (Week ending April 19, 2019)