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Anti-Trust/Trade Regulations

Aug 08, 2022

The SEC “Special Ops” of Enforcement: Five cases Identified by Analysis and Detection Center

CNL Securities published an article on June 11, 2020, entitled “Big Data is Watching You.” It begins by portraying a particular type of securities fraud, involving “cherry-picking” by a market professional who allocates the profits from winning trades to his own account, but leaves the losses from losing trades in the accounts of his clients. The» Read More

Apr 21, 2022

A Triptych of Frauds: SEC Brings Enforcement Actions

“There is something perverse in the very nature of mankind,”  as Lucretius wrote in his great didactic poem “De rerum natura” [On the Nature of Things] in the first century B.C.

          And greed, again, and the blind lust of honours,

          Which force poor wretches past the bounds of law…

So, the following three tales capture the weakness of the human soul, which would rather celebrate financial gain at the expense of reputation, money, and position. » Read More