Tag: misappropriation

The Commission filed actions against investment advisers or their associates this week involving: compliance issues tied to political intelligence regarding government agencies like CMS; another centered on the payment of excessive fees; and a third involving unauthorized transactions. Municipal securities …

This Week In Securities Litigation (Week ending August 25, 2017) Read More »

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Four criminal securities cases moved to or toward resolution over the past week. The jury in the Martin Shkreli trial returned a verdict of guilty on three counts and not guilty on five others at the end of last week. …

This Week In Securities Litigation (Week ending August 11, 2017) Read More »

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