Carl Ayers
The CFTC has issued a customer advisory warning that fraudsters are using the old scam of a pump-and-dump scheme with new technology, specifically “thinly traded ...
A peer shares OCIE's target date sweep letter that the firm received.
A peer shares the OCIE document request letter received by the firm. This one concentrates on wrap fee programs. It also featured an example of ...
This exam, out of the SEC's Boston Regional Office, seeks extensive information on the adviser's private funds.
This letter includes language directed at the adviser if it makes a privilege claim.
This document request letter asks many questions about possible cybersecurity events suffered by the adviser
This is a never-been examined request letter that went to an adviser.
This is a common exam letter.
Consider this another never-been-examined-before adviser undergoing an SEC exam.