Investment advisers have long been one of the key focus area for SEC Enforcement. Today is no different. Investment advisers continue to be an important area for enforcement. Cases against advisers frequently turn on undisclosed or inadequately disclosed conflicts of …
Tag: misappropriation
This Week In Securities Litigation (Week of November 8, 2021)
Crypto continues to be a focus for the Commission and others in Washington. Last week Chair Gensler urged attorneys to avoid advising clients on how to circumvent the securities laws. Rather, they should assist with registration, according to the Chair. …
This Week In Securities Litigation (Week of November 8, 2021) Read More »