IA Compliance: The Full 360° View East 
March 7-8, 2019 | Washington, D.C.

UPCOMING WEBINARS

Conquering Current Compliance Challenges
Feb. 13, 2019 | 2:00 - 2:30 PM EST

Strategies to Make this Year’s Form ADV Update a Breeze
Feb. 19, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: January 16, 2019 
  Includes: 23 Best Practices, 5 Peer-tested tools and 15 No Action Letters

The SEC Examinations Priorities Handbook
Includes: 28 Best Practices, 20 Document Request Letters and 6 OCIE Risk Alerts

Cybersecurity Strategies to Ensure SEC Compliance, 2nd Edition
Includes: 24 Best Practices, 16 Tools, 4 Risk Alerts and IM Guidance

 
ENFORCEMENT ACTIONS - LITIGATION RELEASES
Release Parties Date
LR_24381 SEC charges alleged international hackers who infiltrated EDGAR for insider trading 01/17/2019
LR_24377 Walter Grenda: SEC bars an adviser for the second time after he ignored the initial bar 12/20/2018
LR_24374 Craig Arsenault, Atlas Capital Management, Inc., and ACT Global Investments: SEC Sues Orange County Investment Adviser for Defrauding Clients 12/17/2018
LR_24368 Jesse Litvak: SEC dismisses case against defendant after two convictions followed by two reversals 12/06/2018
LR_24359 Kimberly Pine Kitts: Massachusetts adviser pleads guilty to criminal fraud charges 11/20/2018
LR_24356 James Polese: SEC Announces Settlement in Fraud Case Against Former Investment Adviser 11/16/2018
LR_24349 Richard Cody: Defendant in SEC Enforcement Action Pleads Guilty to Investment Adviser Fraud and Lying to the SEC 11/14/2018
LR_24334 Douglas Simanski: SEC Charges Investment Adviser with Running $3.9 Million Fraud 11/02/2018
LR_24331 Charles Banks: Investment Adviser Settles SEC Fraud Charges 11/02/2018
LR_24321 Bruce Fixelle, Genesis Advisory Services, and Aurora Capital Management: SEC Charges Investment Adviser with Stealing from Friends, Community Members 10/22/2018
LR_24305 Ifitikar Ahmed, et al: Court Enters $64 Million Judgment Against Connecticut-Based Investment Professional 10/03/2018
LR_24291 Goldsky Asset Management and Kenneth Grace: SEC Charges Australia-Based Investment Adviser with Fraud 09/28/2018
LR_24283 Jason Galanis and others: SEC Settles Action Against Defendants in Connection with Stock Fraud Scheme 09/21/2018
LR_24278 World Tree Financial: SEC Charges Investment Adviser and Senior Officers with Defrauding Clients 09/20/2018
LR_24276 Tamara Steele and Steele Financial: SEC Charges Indianapolis Investment Advisers with Defrauding Retail Advisory Clients 09/19/2018
LR_24270 Thomas Caufield: SEC Charges Former Owner of Investment Education Franchise with Misleading Investors 09/17/2018
LR_24253 Grenda Group: SEC Charges Buffalo, N.Y. Advisory Firm and Principal with Fraud Relating to Association with Barred Adviser 08/31/2018
LR_24237 Equitybuild: SEC Charges Failing Real Estate Investment Companies with Operating a $135 Million Fraud Scheme 08/20/2018
LR_24231 Christopher Collins, et al., Lauren Zarksy, Dorothy Zarsky: SEC Charges U.S. Congressman and Others with Insider Trading 08/10/2018
LR_24208 Kimberly Pine Kitts: SEC Charges Cape Cod-Based Investment Adviser with Fraud 07/19/2018
LR_24206 Temenos Advisory and George Taylor: SEC Charges Investment Adviser and CEO with Misleading Retail Investors 07/18/2018
LR_24205 John Geraci: SEC Charges Asset Manager for Stealing Client Assets and Due Diligence Failures 07/17/2018
LR_24193 Vitaly Korchevsky and Vladislav Khalupsky: Two Defendants in SEC's Newswire Hacking Matter Found Guilty by Federal Jury in a Related Criminal Case 07/10/2018
LR_24192 Tarek Bahgat, Lauramarie Colangelo and WealthCFO: SEC Obtains Final Judgment Against Investment Adviser's Assistant 07/10/2018
LR_24185 United Development Funding III, et. al.: SEC Charges Real Estate Investment Funds and Executives for Misleading Investors 07/03/2018
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