Month: February 2022

Investment advisers have long been one of the key focus area for SEC Enforcement. Today is no different. Investment advisers continue to be an important area for enforcement. Cases against advisers frequently turn on undisclosed or inadequately disclosed conflicts of …

SEC Prevails Against IA on Summary Judgement Read More »

Tagged with: , ,

The Commission may have a long list of possible rule writing project but that does not change the fact that enforcement is centered on traditional themes: false statements, manipulation and similar claims. While the agency researches and considers topics in …

This Week In Securities Litigation (Week of February 14, 2022) Read More »

Tagged with: , ,