Year: 2024

The commission filed three new enforcement actions last week. One focused on false statements while as second focused on books and records. The third action centered on cherry picking Be careful, be safe this week SEC Enforcement – Filed and …

This Week In Securities Litigation (Week of December 9, 2024)

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At the center of the broker- trader relation is a duty which governs the relationship when trading. Reflected in Reg. BI is a duty which seeks to ensure that the relationship is fair and governed by the full and fair …

Another Cherry Picking Case Read More »

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