Tag: misrepresentations

This is the final segment of an occasional series regarding a group of criminal and civil securities fraud actions involving trading in opaque markets and the lessons that can be drawn the prosecutions; segment one is here, two here and …

Trading in Opaque Markets: Fraud, Materiality and Compliance Read More »

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“Sunlight is said to be the best of disinfectants” according to Justice Lewis Brandeis. That theme has long been one of the pillars of federal securities regulation. The point was recently emphasized in an action involving an investment adviser who …

11th Circuit Rejects SEC Finding That Misstatements Are Material Despite Disclaimers Read More »

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