valuations – SEC ACTIONS

This Week In Securities Litigation (Week of Feb. 16, 2021)

Posted on February 15, 2021 by T. Gorman Posted in SECActions

The more things change, the more they sometimes seem to stay the same. Take obtaining a formal order of investigation. For much of time the Commission has been in existence the staff prepared a memo submitted to the Commission requesting …

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Tagged with: false statements, offering fraud, SEC, valuations

Adviser Charged With Fraud Tied to Valuations

Posted on August 13, 2020 by T. Gorman Posted in SECActions

The valuation of holdings and assets is a key issue for investment advisers and funds. Incorrectly valuing assets, for example, can over or understate the value of the fund and the fees charged clients. It can mislead shareholders regarding the …

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Tagged with: investment advisers, SEC, valuations

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This Week In Securities Litigation (Week of Feb. 16, 2021)

Adviser Charged With Fraud Tied to Valuations