Month: May 2022


SEC Proposes to Enhance Disclosures by Certain Investment Advisers and Investment Companies About ESG Investment Practices

The Securities and Exchange Commission today proposed amendments to rules and reporting forms to promote consistent, comparable, and reliable information for investors concerning funds’ and advisers’ incorporation of environmental, social, and governance… Read the Full Press Release Have a securities law question? Call New York Securities Lawyers at 212-509-6544.


SEC’s ALJ Problems…Again

Readers will recall my exploits with the SEC‘s ALJ system a few years back, where my client, and others, were forced into that system rather than federal court, lost at trial with significant procedural and due process right violations. We appealed to the Commission, argued the appeal before the Commission […]