Author: T. Gorman

Conflicts of interest are often the predicate for a finding of liability under the securities laws. For example, many of the cases brought against investment advisers are based on the failure to fully disclose a conflict of interest by the …

Ratings Firm Egan-Jones Sanctioned by SEC Read More »

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The Commission continued to challenge the markets and investors this week. Despite the significant number of proposed new regulations announced this year, Chair Gensler offered the prospect for more reform. His recent remarks on market structure offer the promise of …

This Week In Securities Litigation (Week of June 20, 2022) Read More »

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