Month: August 2020

Due diligence is always the key when making an investment. Regardless of who is making the solicitation or how well the potential investor may think they know the broker, firm or security, it pays to stop, evaluate the potential investment …

SEC Charges Two with Trading Away Read More »

Tagged with: ,

The Commission appointed a new director for its New York Regional Office last week. At the same time litigation results dominated the Enforcement calendar. The Division prevailed on summary judgment motions in two different actions. Be safe and health this …

This Week In Securities Litigation (Week of August 24, 2020) Read More »

Tagged with: , , ,