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Management Fees Securities Fraud Securities and Exchange Commission (SEC)

Dorsey & Whitney LLP

SEC Charges Adviser With Fraud Tied to “Death Puts”

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The Commission’s enforcement division and inspectors at OCIE continue to work closely and have developed a series of cases in recent months. One of the more unusual proceeding spawned through this relationship is the action...more

Dorsey & Whitney LLP

This Week In Securities Litigation

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The Commission responded to critics of its administrative proceedings this week, proposing changes to the Rules of Practice which govern them. If adopted the new rules would modify the time period within which the actions...more

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