The Commission launched an enforcement action this week against family office Archegos. The Department of Justice and the CFTC also filed actions against the firm. While investment advisers have long been key targets of enforcement officials, the same cannot be …
This Week In Securities Litigation (Week of May 2, 2022) Read More »
Last week the Commission prevailed on a summary judgement motion against an investment adviser charged with the misappropriation of client assets. It also filed actions centered a fraudulent valuation, the failure to file Form CRS and unregistered securities. Cornerstone Research …
This Week In Securities Litigation (Week of February 21, 2022) Read More »