The Commission filed settled actions this week centered on the manipulation of a pharmaceutical firm’s shares by a short seller and the efforts of an outsourced CFO to evade currency restrictions for China based issuers by transmitting expense payments to …
This Week In Securities Litigation (Week ending September 14, 2018) Read More »
The continued focus of SEC Enforcement on retail investors is translating into increased numbers of actions being brought against investment advisers. Two more examples of this trend are the following: In the Matter of VSS Fund Management LLC, Adm. Proc. …
The SEC Continues to Focus on Retail Investors and Investment Advisers Read More »