Lawyer: “Not much impact” here from SEC’s fiduciary debate
- By: Laura Paglia
- February 7, 2011 December 15, 2017
- 13:56
Firm allegedly touted stocks on social media, while selling its holdings
Agency sanctions breaches of anti-money laundering rules
Claims involve alleged misrepresentations by cannabis firm, underwriters
Exec misled investors by inflating target's revenues to enable SPAC deal
Unique provision aims to balance interests, provide greater certainty
GoSmart targets newer investors, excludes mutual funds, GICs, bonds, options
Regulators flag retail investor issues, market structure, resilience for 2026