Tag: soft dollars

The Commission, in conjunction with the Manhattan U.S. Attorney’s Office, filed an insider trading case against a sitting U.S. Congressman, his son and others. The case, based on a drug trial failure at a firm on whose board the Congressman …

This Week In Securities Litigation (Week ending August 10, 2018) Read More »

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The SEC charges an investment adviser, its founder and the COO with fraud centered on a cherry picking scheme and the misuse of soft dollars.

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