Heather Ayers
We recently told you about former RIA owner Nick Rowe, who filed for bankruptcy while waging a multi-year battle to contest SEC fraud charges (IA ...
Seven years after the Stanford Ponzi scheme unnerved the industry, the former CCO of the investment adviser this week pleaded with SEC commissioners to toss ...
This letter showcases the topics of interest from an SEC exam that's part of its ReTIRE initiative. This letter comes courtesy of Jason Roberts, CEO ...
After four years of clashing with the SEC over fraud charges, Nicholas Rowe, the former president of the advisory firm Focus Capital Wealth Management, finally ...
Carlo di Florio’s move from heading OCIE to being FINRA’s chief risk officer in 2013 is paying off (IA Watch, May 13, 2013). According ...
FINRA has made clear it wants to see firms more committed to a culture of compliance in 2016 (IA Watch, Jan. 7, 2016). Recently, we ...
The effective date for subpart U, which adds Form Funding Portal, was inadvertently omitted in the DATES section of the Federal Register. This correction adds ...