The stay of contested administrative proceedings ended this week. The Commission entered an order lifting the stay which has been in place since the Supreme Court handed down Lucia. The Order ratifies the appointment of its ALJs and directs that …
This Week In Securities Litigation (Week ending August 24, 2018) Read More »
When firms make representations regarding the policies and procedures that govern their operations it is critically important that they be reviewed and updated as required. Perhaps more importantly, the firm should have internal compliance procedures which ensure that it is …
MLPFS Pays Over $8 Million to Settle SEC Conflict Based Fraud Charge Read More »