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Tag: Securities Laws

The U.S. Securities and Exchange Commission (SEC) has increased its enforcement efforts against fund managers and other financial professionals

By parkeddkIn BlogPosted May 9, 2023

In recent years, the SEC has increased its enforcement efforts against fund managers and other financial professionals accused of violating securities laws.  If you are a fund manager facing a lawsuit by the SEC, it is important to understand your legal options and to work with experienced securities litigation attorneys...

Tags: Brokerage Firms, Brokers, Dealers, Financial Professionals, FINRA, FINRA Arbitration, FINRA Mediation, Fund Managers, Hedge Funds, Investment Firms, Investors, Litigation Attorney, SEC, SEC Investigation, SEC Lawsuit, Securities Act of 1933, Securities Act of 1934, Securities Laws, Securities Litigation Attorney, The Blog, U.S. Securities and Exchange Commission
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