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Posted on by T. Gorman Posted in SECActions

Last week the Commission prevailed on a summary judgement motion against an investment adviser charged with the misappropriation of client assets. It also filed actions centered a fraudulent valuation, the failure to file Form CRS and unregistered securities. Cornerstone Research …

This Week In Securities Litigation (Week of February 21, 2022) Read More »

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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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