Year: 2022

While the Commission continued to focus on conflicts in filing new actions, this time they did not center on an investment adviser. Rather, it was the Dodd-Frank provisions governing NRSROs. There Congress warned about the conflicts inherent in the process …

This Week In Securities Litigation (Week of June 27, 2022) Read More »

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Conflicts of interest are often the predicate for a finding of liability under the securities laws. For example, many of the cases brought against investment advisers are based on the failure to fully disclose a conflict of interest by the …

Ratings Firm Egan-Jones Sanctioned by SEC Read More »

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