Tag: valuation

The focus this week was offering fraud actions. Three cases were brought. One involved a registered transfer agent. A second centered on claims that the defendant was an expert trader. The third was based on false claims regarding the defendant’s …

This Week In Securities Litigation (Week ending December 2, 2016) Read More »

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Sometimes it can be difficult to do the right thing. For example, in the SEC’s latest case involving an investment adviser, a valuation error was discovered. A correction was made. The investors were compensated. The adviser, however, failed to follow …

SEC Charges Adviser With Improper Valuation Read More »

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