Investment advisors defending fraud claims from a former client recently asked the Business Court to place them within the three-year statute of limitations applicable to those who provide professional services. In Pridgen v....more
The Nutter Securities Enforcement Update is a periodic summary of noteworthy recent securities enforcement activity, settlements, decisions, and charges....more
On April 1, 2021, the Texas State Securities Board (TSSB) announced the entry of a Consent Order against an SEC registered investment adviser named Independent Financial Group, LLC (“Independent”). The TSSB’s action may...more