Samantha B. Kats

Stradley Ronon’s win in the U.S. Securities and Exchange Commission’s first-ever enforcement action brought pursuant to the Liquidity Rule has been covered by the New York Law Journal. The case — filed in the U.S. District Court for the Northern District of New York — was brought against registered investment adviser Pinnacle Advisors, two of its officers and two independent trustees of a mutual fund that Pinnacle advised. 

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