The continued focus of SEC Enforcement on retail investors is translating into increased numbers of actions being brought against investment advisers. Two more examples of this trend are the following: In the Matter of VSS Fund Management LLC, Adm. Proc. …
The SEC Continues to Focus on Retail Investors and Investment Advisers Read More »
The Commission’s focus on retail investors met with the public’s fascination with all things high tech in the agency’s newest action involving four affiliates of the Transamerica firm. Those entities were involved with nine different products and strategies created by …
Untested, Error Ridden Models Yield $97 Million SEC Settlement Read More »