This Week In Securities Litigation (Week of May 5, 2025)
Last week the Commission filed 10 new actions based on a variety of claims. Those ranged from crypto asset actions to Ponzi schemes and similar matters. Two of the cases filed were dismissed with prejudice as part of the Commission’s …
This Week In Securities Litigation (Week of May 5, 2025)
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Adviser Charged with Self-Dealing
Investment Advisers are supposed to act in the best interests of their clients and not engage in self-dealing. Yet in one recent case the Commission charged the adviser with just that, engaging in self-dealing. SEC v. Taller, Civil Action No. …
Adviser Charged with Self-Dealing
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