The retail investor focus of SEC enforcement is reflected in two recent actions filed by the Division. One centered on a fraudulent investment scheme run by a pastor just freed from prison that targeted Vietnamese investors. SEC v. Whitney, Civil …
Year: 2019
SEC Sanctions Adviser Based on Conflicts, Sham Transaction
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 …
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