Tag: ARS

The Commission prevailed in four court actions. In the district court the agency won a summary judgment motion against an investment adviser. In the Eleventh Circuit Court the SEC secured a pair of victories. In one it obtained the reversal …

THIS WEEK IN SECURITIES LITIGATION (Week ending May 4, 2012) Read More »

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The Commission prevailed on its appeal to the Eleventh Circuit Court of Appeals in an action against Morgan Keegan & Co. The case centers on claims that the firm defrauded its customers in connection with the purchase and sale of …

SEC WINS IN ELEVENTH CIRCUIT AGAINST MORGAN KEEGAN Read More »

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