Adam Deming

Adam Deming

Proskauer Rose LLP

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SEC Releases FY 2019 Enforcement Results: Increases in Investment Adviser Actions and Maintained Focus on Individual...

Yesterday the SEC announced its enforcement results for FY 2019, accompanied by a report from the Co-Directors of its Division of Enforcement. While the total number of actions increased slightly from 2018, the percentage of...more

11/8/2019  /  Annual Reports , Cybersecurity , Disgorgement , Enforcement Actions , Investment Adviser , Kokesh v SEC , SCOTUS , Securities and Exchange Commission (SEC) , Share Class Selection Disclosure Initiative (SCSD) , Share Classes
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