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Dual Registrants (598)
Your search for Dual Registrants returned 598 results.
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8/29/2019 | Content area: Investment Adviser
SEC Charges Investment Adviser with Defrauding Its Advisory Clients Litigation Release No. 24581 / August 29, 2019 Securities and Exchange Commissio...
8/01/2019 | Content area: Investment Adviser
The SEC has charged a Massachusetts dual registrant, alleging that the firm failed to disclose a revenue sharing conflict of interest that generated s...
3/14/2019 | Content area: Broker-Dealer
Nearly a year after being charged by the SEC with failing to supervise a registered rep alleged to have been involved in a long-standing pump-and-dump...
3/08/2019 | Content area: Investment Adviser
Promises of a high level of service at a low cost are always enticing but sometimes those promises prove empty. Such was the case for many clients of ...
2/07/2019 | Content area: Investment Adviser
Open up Aegis Capital’s ($507M in AUM) latest Form ADV brochure and you’ll read this very intriguing nugget under material changes: The Firm has been ...
11/15/2018 | Content area: Investment Adviser
The financial services industry has been clamoring for changes to the SEC’s proposed customer relationship summary form since it was proposed last Apr...
9/27/2018 | Content area: Broker-Dealer
It’s always best when the left hand knows what the right hand is doing. That doesn’t appear to have been the case with TD Ameritrade’s Institutional R...
7/12/2018 | Content area: Broker-Dealer
Aegis Capital’s written supervisory procedures were clear: The firm’s anti-money laundering compliance officer was responsible for filing suspicious a...
6/28/2018 | Content area: Broker-Dealer
The 2011 integration of Wells Fargo and Wachovia triggered the adoption of a number of written compliance policies. One such policy prohibited Wells F...
6/14/2018 | Content area: Broker-Dealer
Flawed compliance and surveillance procedures can trip up even the largest of firms. Merrill Pierce, Pierce, Fenner & Smith makes the case. The dual r...
4/05/2018 | Content area: Broker-Dealer
A thirty-year tenure at a firm is rare these days and tends to gain the employee a certain amount of leeway.  But for Wedbush Securities that leeway a...
4/05/2018 | Content area: Broker-Dealer
Shortcomings in its anti-money laundering program have dealt a New York-based dual registrant an enforcement double whammy. On March 28, both FINRA an...
11/02/2017 | Content area: Investment Adviser
Treasury Department Secretary Steven Mnuchin believes the regulatory framework for the asset management industry “can be significantly improved.” With...
8/17/2017 | Content area: CPO/CTA
You’ve had 90 days to get ready for a new rule you’re likely to embrace.   The CFTC’s new recordkeeping rule takes effect Aug. 28, following its relea...
8/03/2017 | Content area: Investment Adviser
Strong stock market performance in the past year has propelled the aggregate regulatory assets under management of SEC-registered investment advisers ...
7/31/2017 | Content area: Broker-Dealer
A peer shares a copy of the initial document request letter the firm received for an SEC exam of a broker-dealer.
7/19/2017 | Content area: Investment Adviser | Broker-Dealer
This matter concerns KMS, a dually-registered investment adviser and broker dealer that failed, in its capacity as an investment adviser, to disclose ...
6/08/2017 | Content area: Broker-Dealer
Filing thousands of Suspicious Activity Reports per year doesn’t necessarily mean your Bank Secrecy Act compliance program hits all of its marks. Alpi...
3/31/2017 | Content area: Investment Adviser | Broker-Dealer
This two-page questionnaire can be used by staff to alert you to their outside business activity.
1/26/2017 | Content area: Broker-Dealer
Not adequately disclosing the risks and costs of a foreign exchange program have led to separate SEC settlements for Morgan Stanley Smith Barney and C...


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