Tag: conflicts

The Commission filed actions against investment advisers or their associates this week involving: compliance issues tied to political intelligence regarding government agencies like CMS; another centered on the payment of excessive fees; and a third involving unauthorized transactions. Municipal securities …

This Week In Securities Litigation (Week ending August 25, 2017) Read More »

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The SEC filed an insider trading case this week based on three separate trading chains that netted $5 million in trading profits, all back to a New York City bank official. The Manhattan U.S. Attorney’s Office filed a parallel case …

This Week In Securities Litigation (Week ending August 18, 2017) Read More »

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