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RCW Staff

CLE/CPE credit submission Credit submission information All webinars and live conferences are pre-approved through the state of Pennsylvania. Regulatory Compliance Watch chose Pennsylvania as our ...
SEC Charges Registered Investment Adviser and Broker-Dealer with Defrauding Advisory Clients Litigation Release No. 24643 / October 15, 2019 Securities and Exchange Commission v. Cetera ...
Headshot of Rick Fleming
Dual-Class Shares: A Recipe for Disaster Rick Fleming Investor Advocate   ICGN Miami Conference, Miami, Florida Oct. 15, 2019 Thank you, Kerrie Waring, for your ...
RELEASE Number 8052-19 October 15, 2019   Federal Court Orders Managed Fund and CEO to Pay More Than $17.2 Million in a Commodities Fraud Scheme ...
If Migliorato had taken reasonable steps to follow-up with respect to the handling of ICBCFS’s pre-release transactions by securities lending desk personnel, it is likely ...
SEC Obtains Sanctions Against Lek Securities and CEO, Including Bar Against CEO Litigation Release No. 24639 / October 10, 2019 Securities and Exchange Commission v. ...
SEC Obtains Sanctions Against Investment Adviser Litigation Release No. 24640 / October 10, 2019 Securities and Exchange Commission v. Thomas Conrad, Jr. et al., No. ...
From 2009 to 2017, Siva was associated with a broker-dealer and investment adviser registered with the Commission. Siva, 57 years old, is a resident of ...
The Commission’s complaint alleged that, from at least March 2011 to December 2013, PAA sold AGF II securities in a private placement offering using offering ...
The Commission’s complaint alleged that, from at least March 2011 to December 2013, PAA, through its owner Allen, sold AGF II securities in a private ...
The Commission’s complaint alleged that, from at least March 2011 to December 2013, Allen, through his broker dealer PAA, sold AGF II securities in a ...
SEC Charges Four Individuals in Broker Bribery Scheme Litigation Release No. 24637 / October 7, 2019 Securities and Exchange Commission v. Gino M. Pereira, Civil ...
Prospective customers lured by disseminating fraudulent marketing materials
“The CFTC will vigorously enforce the rules requiring our registrants to properly supervise their business activities
These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by registered investment adviser Essex Financial Services, Inc. in connection with its mutual ...
These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by registered investment advisers HTS and HTIN in connection with mutual fund share ...
The count of the criminal indictment to which Jung pled guilty alleged, inter alia, that from October 2015 to October 2016, in violation of the ...
These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by registered investment adviser IPG Investment Advisors, LLC in connection with its mutual ...
These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by registered investment adviser Independent Financial Group, LLC in connection with its mutual ...
These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by registered investment adviser Comprehensive Capital Management, Inc. (“CCM”) in connection with its ...
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