‘Enforcement 40’ for 2020
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By Securities Docket on October 27, 2016, 9:09 am
Patriarch Partners founder Lynn Tilton is a character but she’s no fraud, her lawyer told an SEC judge at the start of a trial over claims that the firm misled investors about the value of assets backing three debt funds worth $2.5 billion. via Patriarch Partners’ Tilton battles SEC as fraud trial begins – Bloomberg
By Securities Docket on October 27, 2016, 8:53 am
The Securities and Exchange Commission’s ill-defined and unsettled legal definition of insider trading is making it harder for advisors to understand how to comply with the rule—and advisors’ misunderstanding is likely resulting in more SEC enforcement actions. via SEC’s Sketchy Insider Trading Definition Sparks Enforcement Actions — ThinkAdvisor