Carl Ayers
An avalanche of eight enforcement actions from the CFTC has hit traders around the world, plus three of the planet’s largest financial services firms. ...
This is an initial document request letter sent to an investment adviser located within the SEC's Philadelphia Regional Office.
A peer passes along the firm's initial document request letter from a recent SEC exam. This came out of the SEC's Philadelphia Regional Office.
If a material change occurs at your firm that triggers a prompt update of your Form ADV, be ready to encounter many more new questions ...
Bitcoins and other cryptocurrencies may be all the rage but the SEC’s Division of Investment Management states to slow down. Two advisers that sought ...
When hard times pummeled AmericaFirst Capital Management ($93M in AUM) of Roseville, Calif., the adviser turned to its clients to keep it afloat. The problem ...
Two years ago, the number of private equity funds topped hedge funds, and that trend continues as evidenced by the release of the latest aggregate ...
To their supporters, compensated non-attorney reps—aka NAR firms—are one of the few ways that a small investor can recoup losses in arbitration. To their detractors, ...