Hugh Kennedy
Maybe the fourth time’s the charm for Moloney Securities Co. and its President and Chief Investment Officer Joseph Medley, Jr. After three separate SEC examinations ...
Allegedly reaping over a half-million dollars in ill-gotten gains by “cherry-picking” profitable trades and “double-dipping” on fees has resulted in SEC fraud charges against an ...
The SEC, FINRA and the MRSB are partnering to offer a 90-minute webinar to municipal advisors on Nov. 10. The complimentary program is aimed at ...
The transition to a T+2 settlement cycle has moved ever closer after the SEC unanimously approved Sept. 28 a proposed amendment to shorten the standard ...
The highest-ever SEC penalty for violations of the Market Access Rule was announced by the Commission Sept. 26. Under a settlement, Merrill Lynch agreed to ...
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 against a Chicago-based ...
Billionaire hedge fund manager Leon Cooperman employed a long-held strategy: accumulate large positions in publicly-traded companies and develop close relationships with their senior executives. When ...
The Institute for the Fiduciary Standard Sept. 19 announced a new program that will allow fiduciary advisors to better show investors how they serve clients’ ...
Initially signaled back in January in its 2016 exam priorities letter, the SEC’s Office of Compliance Inspections and Examinations confirmed Sept.12 that it will examine ...
Regulatory scrutiny and best practices suggest that you should be reviewing your firm’s P&Ps applicable to the issues and challenges that can surface when dealing ...