This Week In Securities Litigation (Week of November 4, 2024)
Note: This post was prepared for publication on Monday, November 4, 2024; it covers matters from the prior week. Unfortunately its publication was delayed – our apologies. Last week the Commission brought a series of actions against J.P. Morgan and/or …
This Week In Securities Litigation (Week of November 4, 2024)
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Investment Advisers, Misstatements and Conflicts
Investment advisers have a fiduciary duty to their clients under the statutes. This contrasts with the obligations of others such as corporate employees and even brokers and dealers. That duty is fundamental to the function of an investment advisory giving …
Investment Advisers, Misstatements and Conflicts
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