Updated Thursday, July 24, 2014 as of 8:11 AM ET
Practice - Regulatory/Compliance
Cohen’s SAC Faces Client Questions as U.S. Investigators Circle
by: Saijel Kishan, Joshua Gallu and Katherine Burton
Monday, November 26, 2012
Partner Insights

In the SEC arena, which is civil, its possible but also unlikely to see a control-person case because anyone charged under such a theory would be able to argue good faith, he said. Its more than proving he had the power to control somebody. It has to be the actual exercise of that control.

Get access to this article and thousands more...

All Financial Planning articles are archived after 7 days. REGISTER NOW for unlimited access to all recently archived articles, as well as thousands of searchable stories. Registered Members also gain access to exclusive industry white paper downloads, web seminars, blog discussions, the iPad App, CE Exams, and conference discounts. Qualified members may also choose to receive our free monthly magazine and any of our daily or weekly e-newsletters covering the latest breaking news, opinions from industry leaders, developing trends and growth strategies.

Already Registered?

2014 Summer Reading List for Advisors

Current Issue

The July Issue is now online!


Industry Events

August 10, 2014 |

September 9, 2014 |

September 17, 2014 |

September 20, 2014 |

September 28, 2014 |

Already a subscriber? Log in here