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Ian Roffman Quoted on 2018 SEC Priorities in InvestmentNews

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01.22.2018

Ian Roffman, chair of Nutter’s Litigation Department and a partner in the firm’s Securities Enforcement and Litigation practice group, was quoted in an InvestmentNews article on the SEC’s priorities in 2018. In the article, “Cutting Through the Red Tape of Adviser Regulation is Tricky,” Ian commented on how the SEC’s enforcement philosophy will result in action this year, saying, “By all indications, they're looking to bring cases against money managers, investment advisers and brokerage firms. They're signaling they're going to target funds that affect individuals and potentially also types of institutions that are collective vehicles for individuals, such as retirement or pension funds."

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