News & Analysis as of

Fraud › Investment Adviser › Exchange Traded Funds

Fraud is the making of false representations or engaging in deceptive behavior in order to unlawfully secure financial or personal gain. 
Orrick, Herrington & Sutcliffe LLP

1st Circuit affirms SEC penalty against investment adviser for fraud

Orrick, Herrington & Sutcliffe LLP on

Recently, the U.S. Court of Appeals for the First Circuit consolidated and affirmed a lower court’s decision requiring an investment advisor and the related firm (appellants) to pay civil penalties to the SEC due to...more

Nutter McClennen & Fish LLP

Nutter Securities Enforcement Update: March 1, 2024

Nutter McClennen & Fish LLP on

The Nutter Securities Enforcement Update is a periodic update of noteworthy recent securities enforcement activity, settlements, decisions, and charges. We provide brief summaries that highlight recent enforcement action...more

Vedder Price

Investment Services Regulatory Update - February 2018

Vedder Price on

New Rules, Proposed Rules, Guidance and Alerts – SEC STAFF GUIDANCE AND ALERTS - SEC Staff Issues Guidance on Cryptocurrency-related Holdings - On January 18, 2018, the staff of the SEC’s Division of Investment...more

3 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