Month: June 2023

Market Professional Misappropriates Client Funds For Years Misappropriation of client assets seems to be an increasing issue in the securities business. Recently the Commission appears to be filing more actions centered on market professionals who misappropriate assets from their long …

In many of the enforcement actions filed by the Commission the investor is the ultimate loser – his or her funds are misappropriated by the author of the fraudulent scheme. For example, in the typical offering fraud case the investor …

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