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State Registration (70)
Your search for State Registration returned 70 results.
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5/09/2019 | Content area: Investment Adviser
Thompson, among other things, charged his clients unauthorized, unearned, and excessive fees, forged client signatures on advisory contracts, provided...
3/25/2019 | Content area: Investment Adviser
Maxwell, among other things, obtained $170,000 from two of his elderly clients to acquire an unsuitable blockchain investment fund without adequately ...
1/31/2019 | Content area: Investment Adviser
Nevada has rolled the dice by proposing its own fiduciary duty rule last month. You have until March to share your comments about the proposal.   The ...
1/17/2019 | Content area: Investment Adviser
There have been rumblings for years about concerns regulators may have when a client’s brokerage account gets switched to an advisory account that cha...
1/17/2019 | Content area: Investment Adviser
When four reps left Summit Equities ($3B in AUM) in Parsippany, N.J., they took client personally identifiable information with them – and the adviser...
1/10/2019 | Content area: Investment Adviser
New Jersey became the latest state to consider its own fiduciary duty standard last year. IA Watch has obtained the 61 comments sent to the state in r...
12/13/2018 | Content area: Investment Adviser
The Golden State takes pleasure in being the first in the nation at things and this record continues after the state has passed the country’s first la...
12/12/2018 | Content area: Investment Adviser
Kessler, the sole owner of an investment adviser, was a registered investment adviser representative and engaged in a number of prohibited business pr...
11/09/2018 | Content area: Investment Adviser
Woodley submitted a series of invoices to his custodian to collect funds from client accounts as compensation purportedly for services performed or in...
10/25/2018 | Content area: Investment Adviser
Consider custody the gift that keeps on giving. The latest twist of the screw comes from Pennsylvania, where state securities officials last month rel...
10/18/2018 | Content area: Investment Adviser
While there’s not an official rule proposal yet, New Jersey Oct. 15 announced a comment period (ending Dec. 14th) for a possible fiduciary duty standa...
9/28/2018 | Content area: Investment Adviser
The mail fraud count to which DeShetler pleaded guilty alleged, among other things, that, beginning in early 2016, DeShetler began soliciting funds fr...
9/17/2018 | Content area: Investment Adviser
Caufield convinced more than 40 investors to invest over $6 million in his high-yield promissory notes by promising investors significant returns gene...
8/02/2018 | Content area: Investment Adviser
Vazquez and Hoplon created the New Economic Opportunities Fund I, LLC (“NEON”) vehicle to pool investors’ funds ostensibly for the purpose of purchasi...
7/24/2018 | Content area: Investment Adviser
The complaint also alleged that from at least 2012 through 2016, Jarrell offered and sold unregistered promissory notes issued by Providence Financial...
6/21/2018 | Content area: Investment Adviser
As Congress debates whether the SEC should have more than a five-year statute of limitations to bring enforcement actions, New York’s highest court ha...
6/04/2018 | Content area: Investment Adviser
Endres placed a number of her clients, some of whom were elderly, into an unsuitable, highly speculative investment strategy based on the short-term t...
4/26/2018 | Content area: Investment Adviser
Last week, we listed what actions an RIA must take when moving from state registration to SEC registration (IA Watch, April 19, 2018). Our series conc...
4/19/2018 | Content area: Investment Adviser
Your firm approaches the magic $100 million in AUM mark that permits you to move from being state-registered to registering as an SEC RIA. What must y...
10/04/2017 | Content area: Investment Adviser
The complaint alleges that the investor funds were supposed to be invested in a master fund that would use a quantitative stock trading strategy. Ins...


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