The Commission filed its first action against an auditor for lack of independence based on a romantic relationship this week. The agency also filed an action alleging insider trading against long time hedge fund operator, Leon Cooerman and another insider …
This Week In Securities Litigation (Week ending Sept. 23, 2016) Read More »
It can happen to anybody. The SEC has brought what seems like an almost endless string of investment fund and offering fraud actions. Typically small, unsophisticated investors, often known to the fraudster, are targeted with sales pitches of extravagant returns. …
SEC Halts Scheme By IM Who Bilked Off-Shore Investment Manager Read More »