ARS – SEC ACTIONS

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

Posted on May 03, 2012 by T. Gorman Posted in SECActions

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 …

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Tagged with: ARS, ETF, Fifth Amendment, fraudulent offering, investment fund fraud, secactions

SEC WINS IN ELEVENTH CIRCUIT AGAINST MORGAN KEEGAN

Posted on May 02, 2012 by T. Gorman Posted in SECActions

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 …

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Tagged with: ARS, disclosure materials, misrepresentations, secactions, summary judgment

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

SEC WINS IN ELEVENTH CIRCUIT AGAINST MORGAN KEEGAN