Tag: excessive fees

In the week leading up to the July 4th holiday weekend the SEC filed an action alleging insider trading centered on the acquisition of a firm by Apple based largely on circumstantial evidence and outsized trading. Another action brought by …

This Week In Securities Litigation (Week ending June 30, 2016) Read More »

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The Commission prevailed in two litigated actions. In one the agency secured a favorable jury verdict in an action centered on misrepresentations made by an investment adviser who sought to move his book of business to a new entity. In …

This Week In Securities Litigation (Week ending August 15, 2014) Read More »

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