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Brokers Disgorgement

Goodwin

Financial Services Weekly News - October 2015 #4

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Regulatory Developments - SEC to Vote on Final Title III Crowdfunding Rules Oct. 30: The SEC has announced that it will vote on whether to adopt rules and forms related to the offer and sale of securities through...more

Dorsey & Whitney LLP

SEC Settles Unregistered Broker Charges Tied To Offering Fraud

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The SEC entered into partial settlements with three persons charged with acting as brokers without registering. The charges were tied to an offering fraud which centered on selling interests in a firm that claimed to be...more

Dorsey & Whitney LLP

This Week In Securities Litigation

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The SEC settled another action this week based on admissions of fact and that the Federal securities laws were filed, this time involving Oppenheimer. The action was based on the fact that the firm permitted an off-shore and...more

Goodwin

Financial Services Weekly News Roundup - December 2014

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The SEC’s Semiannual Regulatory Agenda. The Federal Office of Information and Regulatory Affairs posted the SEC’s most recent Semiannual Regulatory Agenda which, in compliance with the Regulatory Flexibility Act, identifies...more

Dorsey & Whitney LLP

Three Principals of Adviser Settle SEC Charges Over Undisclosed Conflicts

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The Commission filed another settled action based on undisclosed conflicts involving an investment adviser. In this proceeding Respondents, principals of the adviser, failed to disclose a fee splitting arrangement with an...more

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