Advisor Breaches Duty to Client
Traditionally investment advisers have been recognized as having a fiduciary duty to their clients. Once clear area of application is when the market professional recommends investments. The adviser, under those circumstances, has a clear duty to make sure he or …
Advisor Breaches Duty to Client
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Last week the Commission announced its largest whistleblower award in the history of the program. More rules were also announced, this time regarding Form PF and the repurchase of shares. The agency also filed a series of enforcement actions. The …
This Week In Securities Litigation (Week of May 8, 2023) Read More »