The United States Court of Appeals for the Third Circuit recently issued a decision that highlights the importance of investment management companies using extreme caution when promoting investment products to their clients,...more
- FINRA Fraud Hedge Funds Investment Management Marketing Ponzi Scheme Securities Exchange Act Vicarious Liability
The Supreme Court last week issued two opinions of major importance to the securities bar. In Amgen Inc. v. Connecticut Retirement Plans & Trust Funds, 568 U.S. (2013), the court held that no proof of materiality was required...more
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