Tag: false advertising

The SEC prevailed on a summary judgment motion against Steven Metro, the key figure in the Grand Central insider trading case. The Court entered an injunction and imposed a $25,000 penalty, far less than the $2 million requested by the …

This Week In Securities Litigation (Week ending March 23, 2018) Read More »

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Three of the six actions filed this week by the Commission were against registered investment advisers. One involved the misappropriation of funds, another centered on the failure to disclose a related party transaction and a third was based on the …

This Week In Securities Litigation (Week ending Feb. 10, 2017) Read More »

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