The Commission secured partial summary judgment in an action involving a recidivist securities law violator who failed to disclose that fact while soliciting investors that were not permitted to redeem their shares while the defendants redeemed their interests. The court…
Tag: disclosure
The SEC Continues to Focus on Retail Investors and Investment Advisers
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.…
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