SEC Charges Perceptive Advisors for Failing to Disclose SPAC-Related Conflicts of Interest

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The Securities and Exchange Commission today charged New York-based investment adviser Perceptive Advisors LLC with failing to disclose conflicts of interest regarding its personnel’s ownership of sponsors of special purpose acquisition companies (SPACs…

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Have a securities law question? Call New York Securities Lawyers at 212-509-6544.

Facing Hidden Costs Of Going Green, Investor Indifference To Level Of Impact, And Unachievable Climate Commitments


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Facing Hidden Costs Of Going Green, Investor Indifference To Level Of Impact, And Unachievable Climate Commitments
New research reveals hidden costs for corporates of going green and investor indifference to the level of impact, while net zero commitments become more unachievable. Investors can adjust three aspects of their approach to form a new and more scalable version of sustainable and impact investing
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SEC Charges Venture Capital Adviser Energy Innovation Capital Management for Overcharging Fees


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SEC Charges Venture Capital Adviser Energy Innovation Capital Management for Overcharging Fees
The Securities and Exchange Commission today charged Energy Innovation Capital Management, LLC (EIC), a California-based exempt reporting adviser, with charging excess management fees from two venture capital funds. EIC has returned $678,681 plus…

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Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
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https://seclaw.blogspot.com/2022/09/sec-charges-venture-capital-adviser.html

SEC Charges Venture Capital Adviser Energy Innovation Capital Management for Overcharging Fees

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The Securities and Exchange Commission today charged Energy Innovation Capital Management, LLC (EIC), a California-based exempt reporting adviser, with charging excess management fees from two venture capital funds. EIC has returned $678,681 plus…

Read the Full Press Release

Have a securities law question? Call New York Securities Lawyers at 212-509-6544.

SEC Charges Advisory Firm and Executives with Devising an Elaborate Scheme to Defraud Clients out of More Than $75 Million


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SEC Charges Advisory Firm and Executives with Devising an Elaborate Scheme to Defraud Clients out of More Than $75 Million
The Securities and Exchange Commission today charged two North Carolina-based executives, Gregory E. Lindberg and Christopher Herwig, and their Malta-based registered investment adviser, Standard Advisory Services Limited, for defrauding clients out of…

Read the Full Press Release
Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
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https://seclaw.blogspot.com/2022/08/sec-charges-advisory-firm-and.html

SEC Charges Advisory Firm and Executives with Devising an Elaborate Scheme to Defraud Clients out of More Than $75 Million

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The Securities and Exchange Commission today charged two North Carolina-based executives, Gregory E. Lindberg and Christopher Herwig, and their Malta-based registered investment adviser, Standard Advisory Services Limited, for defrauding clients out of…

Read the Full Press Release

Have a securities law question? Call New York Securities Lawyers at 212-509-6544.

Are Any Stocks ‘Recession Proof’?


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Are Any Stocks ‘Recession Proof’?
What is the best way to protect your portfolio from a recession? Reevaluate your allocation to more defensive stocks and look to diversify with more inflation-protected securities, short-term bonds, and cash.
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