Two key areas of focus for the SEC are retail investors and cyber. Both of those elements are present in the latest case filed by the U.S. Attorney’s Office for the Eastern District of New York which parallels a previously …
Tag: account intrusion
This Week In Securities Litigation (Week ending Nov. 3, 2017)
The Commission’s focus on retail investors is reflected in cases filed this week. One involved the manipulation of securities prices by gaining unauthorized access to retail accounts and then trading securities. Another involved charging customers excessive fees by Merrill Lynch …
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