Tag: SEC

The speculation is on. When will Jay Clayton leave his position as Chair of the SEC? By January 20, 2021 is the obvious answer. Many think that Mr. Clayton may resign sooner so he can return to New York. If …

This Week In Securities Litigation (Week of November16, 2020) Read More »

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Investment advisers have been a key focus of SEC Enforcement in recent year. Beginning several years ago the number of cases brought each year involving advisers began to climb. At the time the leading category of actions was typically corporate …

Adviser Settles and is Barred For Fraudulent Client Investments Read More »

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