Tag: supervision

The Commission prevailed on summary judgment in an action against a broker which alleged he misappropriated client funds. The agency also filed actions centered on: an audit failure; the EB-5 immigration program; undisclosed conflicts; a failure to have supervisory procedures …

This Week In Securities Litigation (Week ending September 5, 2014) Read More »

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SEC, USAO settle supervision case tied to market crisis with broker

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