Tag: fees

The SEC filed an insider trading case this week based on three separate trading chains that netted $5 million in trading profits, all back to a New York City bank official. The Manhattan U.S. Attorney’s Office filed a parallel case …

This Week In Securities Litigation (Week ending August 18, 2017) Read More »

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Undisclosed conflicts, fees and overcharges have become a recurring theme in Commission cases involving investment advisers. Frequently these cases arise out of inspections by OCIE. See, e.g., In the Matter of Credit Suisse Securities U.S.A), LLC, Adm. Proc. File No. …

Undisclosed Fees, Conflicts Yield SEC Sanctions for Adviser Read More »

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