Tag: investment adviser

The main street investor focus of SEC Enforcement has spawned a series of offering fraud cases. It has, at the same time, resulted in a series of actions involving investment advisers which has become one of the largest groups of …

Adviser Falsely Inflating NAV Charged with Fraud by SEC Read More »

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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 »

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