Investment advisers have long been one of the key targets of SEC enforcement. The number of cases brought each year naming advisers and/or their firms as either a defendant or respondent is typically one of the largest groups of cases …
Adviser, Founder Sanctioned for Conflicts, Misdescribed Fees Read More »
Traditionally the Enforcement Division’s case load centered on corporate and disclosure cases along with a mix of others. In recent years that mix has included a number of offering fraud actions whose victims are often small retail investors. More recently …
SEC Charges Advisor With Fraudulently Overcharging Clients Read More »