Tag: investment adviser

Last week a jury in the Central District of California found in favor of the Commission in a case centered on sham transactions used by corporate insiders to essentially misappropriate unregistered shares of the company. The shares were then sold …

Jury Finds for SEC, Against Advisor Re Undisclosed Fees Read More »

Tagged with: , ,

The first week back after the shutdown was undoubtedly busy for the Enforcement Division and the entire Commission. Whether the government is going to continue past February 15 or not remains an open question and an issue which has all …

This Week In Securities Litigation (Week ending Feb. 1, 2019) Read More »

Tagged with: , , , ,