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Posted on by T. Gorman Posted in SECActions

The Commission issued rules this week regarding changes to its public liquidity risk management disclosure for open ended funds. In addition, proposed rules were issued regarding its whistleblower program and the regulatory framework for ETFs. A second insider trading case …

This Week In Securities Litigation (Week ending June 29, 2018) Read More »

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Posted on by T. Gorman Posted in SECActions

David Lerner Associates, a private investment company which claims to have $9 billion in assets under management, David Lerner, its founder, and William Mason, its head trader, were sanctioned by FINRA. The charges and sanctions relate to unfair sales practices …

FINRA Sanctions Adviser, Founder and Head Trader Read More »

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