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. …

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In many securities fraud actions, the investor is solicited to put his or her investment capital into a product being developed or some type of intellectual property rather than exchange listed and traded shares. In those situations it may be …

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