Tag: investment adviser

Two firms are named as Respondents in the Order, Franklin Advisers, Inc., or FAV, and Franklin Templeton Investments Corp. or FTIC. The former is a registered investment adviser. The latter is a subsidiary of Franklin Resources, Inc., Toronto, also a …

Advisers Sanctioned For Prohibited Transactions, Procedures Failure Read More »

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“It’s déjà vu all over again” Yogi Berra famously said. Is it? A flu virus, riots over injustice and angst over where everything is going – and that was 1968. And now we have a flu virus, riots and angst. …

This Week In Securities Litigation (Week of June 8, 2020) Read More »

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