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Principal Trades (39)
Your search for Principal Trades returned 39 results.
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9/21/2018 | Content area: Investment Adviser
These proceedings concern the failure of a registered investment adviser, Ophrys, LLC, to provide adequate written disclosure to clients regarding the...
1/17/2018 | Content area: Investment Adviser
Starting in approximately March 2013 and continuing through December 2015, Tarpinian knowingly placed approximately 2,785 trades between the Principal...
10/05/2017 | Content area: Investment Adviser
The regulatory landscape’s dotted with enforcement cases for violations related to cross trades and principal trades. With differing rules, missteps c...
12/08/2016 | Content area: Investment Adviser
Seven years after the SEC first threatened to retract its temporary principal trading rule, it’s finally going to happen when 2016 ends (IA Watch, Sep...
10/06/2016 | Content area: Investment Adviser
Maybe the fourth time’s the charm for Moloney Securities Co. and its President and Chief Investment Officer Joseph Medley, Jr. After three separate SE...
9/29/2016 | Content area: Investment Adviser
An under-resourced compliance department and inadequate P&Ps tied to cross and principal trading have led to a $250,000 SEC civil money penalty agains...
9/01/2016 | Content area: Investment Adviser | Broker-Dealer
Every two years like clockwork, the SEC has extended its temporary rule permitting principal trades with certain clients by dual-registrants. The last...
6/28/2016 | Content area: Investment Adviser
WFGA overcharged clients in one of its advisory wrap account programs contrary to its disclosures to these clients. WFGA represented to clients partic...
4/14/2016 | Content area: Investment Adviser
You propose that, if an Adviser determines to sell out of a client position consisting of whole shares and fractional shares, the Adviser or a broker-...
2/18/2016 | Content area: Investment Adviser | Broker-Dealer
This year could bring the end of Advisers Act rule 206(3)-3T (temporary rule for principal trades with certain advisory clients) – although this has b...
2/16/2016 | Content area: Investment Adviser
The staff of the U.S. Securities and Exchange Commission’s Risk and Examinations Office of the Division of Investment Management is reviewing how firm...
8/19/2015 | Content area: Investment Adviser | Broker-Dealer
CGMI’s trade surveillance failed to detect these principal transactions for more than two years because it relied on an exception report that was not ...
8/18/2015 | Content area: Investment Adviser
When the SEC releases three enforcement cases on the same day – tied to the same issue – you know a message is being sent. The message: violations of ...
8/06/2015 | Content area: Investment Adviser
TSA engaged in thousands of securities transactions with advisory clients on a principal basis through an affiliated broker-dealer, without providing ...
8/06/2015 | Content area: Investment Adviser | Broker-Dealer
Parallax, an investment adviser registered with the Commission from March 2010 to November 2012, willfully violated the principal transaction prohibit...
7/08/2015 | Content area: Investment Adviser
Between late 2010 and 2011, Respondents caused the Funds to purchase three notes, with a total principal value of $7 million, from VERO Asset Manageme...
3/19/2015 | Content area: Investment Adviser
With the month’s end in sight, the clear majority of advisers are putting the final touches on their amended Form ADV. One of those final checks shoul...
1/02/2015 | Content area: Investment Adviser
This one had a little bit of everything—your standard diversion of investor money sprinkled with custody and principal transaction violations. The SEC...
12/29/2014 | Content area: Investment Adviser
This adviser is charged with engaging in principal transactions without obtaining client consent and violations of the custody rule.
12/18/2014 | Content area: Investment Adviser | Broker-Dealer
Like a congressional election, the SEC’s extension of temporary Investment Advisers Act rule 206(3)-3T – which permits dually-registered firms to comp...


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