Year: 2020

“It’s déjà vu all over again” Yogi Berra famously said. Is it? A flu virus, riots over injustice and angst over where everything is going – and that was 1968. And now we have a flu virus, riots and angst. …

This Week In Securities Litigation (Week of June 8, 2020) Read More »

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It is axiomatic that a registered investment adviser has a duty to maintain certain records. Equally fundamental is the fact that when the Commission’s Office of Inspections and Examinations or OCIE calls, the advisory firm has an obligation to produce …

After Failing to Permit OCIE Exams, Commission Files Action Read More »

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