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Ian Roffman quoted in Reuter’s article “SEC settles charges with Nebraska mutual fund trustees and servicers”
Print PDFIan Roffman, a member of the Securities Enforcement and Litigation and Government Investigations and White Collar Defense practice groups, was quoted by Reuters in “SEC settles charges with Nebraska mutual fund trustees and servicers” on May 2. The article discusses the Northern Lights Fund Trust and the Morgan Keegan cases pointing out the increasing effort being made by the SEC’s investigative units. "The SEC is sending a clear message that they're looking at fund trustees to ensure that funds are actually fulfilling their obligations and not simply acting in a perfunctory manner," Ian said.
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