Tag: fees

The Commission became a cybersecurity headline this week, not for brining a case or writing a rule in the area but for an intrusion into its systems. The Chairman issued a statement on the subject. The Commission resolved an FCPA …

This Week In Securities Litigation (Week ending September 22, 2017) Read More »

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The Commission filed another in a series of actions against an investment adviser who put wrap fee program clients into more expensive mutual fund shares that benefited the adviser and disadvantaged the client. Two more cherry picking cases were filed …

This Week In Securities Litigation (Week ending September 15, 2017) Read More »

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