Tag: Investment Adviser

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SEC Sues Newsletter Publisher

  Violations of 17(b) Alleged for Failing to Disclose Compensation By Mark J. Astarita, Esq. September 24, 1998 – the SEC</div><div class=glossaryItemBody>The United States Securities and Exchange Commission is the federal agency charged with the regulation and oversight of the securities markets, public companies and securities professionals.(…)</div>” href=”https://www.seclaw.com/glossary/sec/” data-gt-translate-attributes='[{“attribute”:”data-cmtooltip”, “format”:”html”}]’>SEC announced the filing of a civil action involving a fraudulent touting scheme engaged in by individuals and the corporate publisher of a Newsletter. The Complaint alleges that the individuals […]

Brokers

Financial Advisor Legal Information Center

Featured Books Securities Litigation and Enforcement in a Nutshell – The 2nd edition of the Securities Litigation and Enforcement Nutshell focuses on an area of law that burgeoned nearly two decades ago after the accounting and corporate governance scandals at Enron, WorldCom, and other large publicly traded companies. It is […]