Tag: SEC

It is axiomatic that an investment adviser is duty bound to act in the best interest of the client.  This means in part that the adviser must put the interests of the client before their personal interests.  Indeed, investment advisers …

Adviser Builds His New Firm While At Another Read More »

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Last week the Commission filed three new actions.  Those cases centered on offering fraud cases. Be careful this week,  be safe. SEC Enforcement – Filed and Settled Actions Statistics:  Last week the Commission initiated  3 new case civil enforcement actions …

This Week In Securities Litigation  (Week of September 8, 2025)   Read More »

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