Merrill Lynch was at the center of actions brought by the SEC and FINRA this week. One action charged the firm with violations of the customer protection rule tied to using customer cash and failing to protect their securities. The …
This Week In Securities Litigation (Week ending June 24, 2016) Read More »
The SEC and the Manhattan U.S. Attorney’s Office brought actions against a hedge fund adviser who lost most of the money raised from investors through risky trading while trying to conceal that fact from them, the brokers and others – …
IA Settles With SEC, USAO After Letter to Investors Admitting Losses Read More »