Month: May 2020

The Commission is focusing its enforcement program, at least in part, on COVID-19. This week the regulator filed two fraud actions centered on solicitations by firms related to on virus. Neither case settled. A co-director of enforcement discussed these efforts …

This Week In Securities Litigation (Week of May 18, 2020) Read More »

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The main street investor focus of SEC Enforcement has spawned a series of offering fraud cases. It has, at the same time, resulted in a series of actions involving investment advisers which has become one of the largest groups of …

Adviser Falsely Inflating NAV Charged with Fraud by SEC Read More »

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