Tag: SEC

The Commission has continued to bring offering fraud actions which may well be the leading category of enforcement actions for the year. One reason is the difficulty for many investors to distinguish between the good guys and the bad guys. …

Commission Settles Offering Fraud Targeting Chicago Jewish Community Read More »

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Two firms are named as Respondents in the Order, Franklin Advisers, Inc., or FAV, and Franklin Templeton Investments Corp. or FTIC. The former is a registered investment adviser. The latter is a subsidiary of Franklin Resources, Inc., Toronto, also a …

Advisers Sanctioned For Prohibited Transactions, Procedures Failure Read More »

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