Casey McClaren

Casey McClaren

Katten Muchin Rosenman LLP

Contact
View Bio
RSS

Latest Posts › Investors

Share:

SEC Complaint Signals Aggressive Approach to Information Barriers Enforcement

On September 12, the Securities and Exchange Commission (SEC) filed a complaint in the Southern District of New York (SDNY) charging a large proprietary trading firm with making materially false and misleading statements and...more

9/29/2023  /  Broker-Dealer , Fund Managers , Investment Adviser , Investors , Material Misstatements , Omissions , Securities and Exchange Commission (SEC) , Securities Exchange Act of 1934 , Securities Fraud , Securities Violations
1 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
Sign up Log in
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide