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: Securities Law Prof Blog

SEC Settles Fraud Charges Against Houston Businessman in Connection with Investment Advisory Firm

By Securites Lawprof

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On March 25, 2011, the SEC filed suit in U.S. District Court in Houston against Daniel Sholom Frishberg (?Frishberg?), principal of Daniel Frishberg Financial Services (?DFFS?), a Commission-registered investment adviser. The Commission alleges that DFFS, with Frishberg?s approval, advised its...

Full post as published by Securities Law Prof Blog on March 28, 2011 (boomark / email).

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