Posts tagged Conflict of Interest.
Three Firms’ Failure to Disclose Conflicts of Interest Lead to Almost $1 Million in Disgorgement, Interest

The U.S. Securities and Exchange Commission (“SEC”) recently announced settled charges against two advisers that self-reported conflicts of interest as a part of the Share Class Selection Disclosure Initiative.

Lone Star Value Management Firm and Founder Pay to Settle SEC Disclosure Charges

Lone Star Value Management LLC (“Lone Star”) and its owner Jeffrey Eberwein settled with the Securities and Exchange Commission (“SEC”) over charges that it executed 21 trades without disclosing they were principal trades.

SEC: Prudential Failed to Disclose Conflicts of Interest to Fund Boards

The Securities and Exchange Commission ("SEC") has charged two Prudential subsidiaries with a failure to monitor and report conflicts of interest that proved costly to fund shareholders.

Intentional and unintentional conflicts of interest are nothing new in the world of finance, but a recent instance of alleged fraud serves to underscore how damaging these cases can ultimately. In this particular case, Mario Hinojosa and his wholly-owned...

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