Tag: investment advisers

SEC Charges Advisor With Fraudulently Overcharging Clients

Traditionally the Enforcement Division’s case load centered on corporate and disclosure cases along with a mix of others. In recent years that mix has included a number of offering fraud actions whose victims are often small retail investors. More recently

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This Week In Securities Litigation (Week ending May 31, 2019)

On Monday, June 3, 2019, the Commission will celebrate its 85th anniversary. At the same time the SEC Historical Society, a virtual museum dedicated to the history of financial regulation, will celebrate the 20th anniversary of its founding. Last week

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