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Posted on by T. Gorman Posted in SECActions

The Commission passed Regulation Best Interest this week (here). The new Regulation governs the obligations of broker-dealers giving advice to retail investors, raising the existing standard. While it was built on the kind of fiduciary duty principles that govern investment …

This Week In Securities Litigation (Week ending June 7, 2019) Read More »

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Posted on by T. Gorman Posted in SECActions

Critical to any exchange transaction is the value given and received. It is axiomatic that the firm must conduct appropriate due diligence to determine the appropriate value and properly account for the transaction. A failure to account for the transaction …

SEC Sanctions Firm For Falsifying Value of Deal Read More »

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