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This week in securities litigation (week of February 13, 2023)

The Commission continued to focus on traditional areas in the days leading up to the big game such as manipulation while bringing two new cases… ....

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SEC Charges Former Advisor For Fraudulently Using Client Assets As Collateral

SEC Charges Former Advisor For Fraudulently Using Client Assets As Collateral
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Joshuaw Coleman , Exchange Commission , Vesta Advisors , North Wales ,

SEC: Former Advisor Fraudulently Used Client Assets As Collateral

The SEC accused a former advisor of raising more than $200 million in illicit loan proceeds and using clients’ advisory assets as collateral. ....

Joshuaw Coleman , Exchange Commission , Vesta Advisors , North Wales , Vesta Capital ,