Carl Ayers
Redwood had custody of its clients’ Mortgage Company promissory notes because it had possession of and direct access to them, and it failed to comply ...
TCA and GP fraudulently inflated the TCA Funds’ net asset value and performance results through the recording of non-binding transactions
The Form ADV brochures failed to disclose information about an unpaid $208,700 judgment against Clark and Soteira in favor of a former client
For each of the more than 1,050 short sales that Tradition mismarked as long sales in both its customers’ accounts and its principal accounts, Tradition ...
Cowen determined that a government money market fund, as opposed to another type of money market fund, was an appropriate cash sweep vehicle for its ...
Buttonwood and McGraw therefore had a financial conflict of interest with their clients—they had an incentive to select investments for clients that would allow Buttonwood ...
By making the false and misleading statements about the fee markups in its Firm Brochures or otherwise, Roberts and TCFG violated the fiduciary duties they ...
The asset management field not only is growing; it is evolving. SEC staff are seeing new strategies, structures, and business practices. Technology is rapidly changing. ...
The second part of this proposal is to bring greater consistency, transparency, and usability of Form N-PX. This would allow investors to more easily understand ...
At the risk of apostasy, I posit that proxy voting is not the most important activity in which a fund engages. Although a fund’s voting ...