The U.S. Supreme Court recently agreed to hear an appeal stemming from an investment banker who was found liable for fraud. There are numerous cases each year, but this case stands out due to its peculiar circumstances. The banker was found liable due to the practice...
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Month: July 2018
What Does SCOTUS Ruling on SEC Appointments Mean For You?
Late last month the Supreme Court of the United States issued a highly anticipated ruling in a case that could have lasting ramifications for investors and financial institutions. In the case of Lucia v. SEC, the court ruled that the Securities and Exchange...
