Conquering Current Compliance Challenges
Oct. 9, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: Sept. 11, 2019 
 
Includes: Best Practices, Key Regulatory Issues and Compliance Tips
 
Includes: 23 Best Practices, 5 Peer-tested tools and 15 No Action Letters


 
ENFORCEMENT ACTIONS - LITIGATION RELEASES
Release Parties Date
LR_24595 Dean Patrick McDermott, McDermott Investment Advisors, LLC and McDermott Investment Services, LLC 09/13/2019
LR_24593 Kevin B. Merrill, et al.: Three Defendants Charged with $345 Million Fraud Agree to Permanent Injunctions 09/13/2019
LR_24589 Strategic Capital Management and Michael Breton: SEC Obtains Final Judgment Against Investment Adviser in Cherry-Picking Scheme 09/10/2019
LR_24586 E. Herbert Hafen: SEC charges adviser who used client funds to pay his own personal purposes, including paying house, car, and credit card expenses for himself and family members. 09/05/2019
LR_24581 Cetera Advisors: SEC Charges Investment Adviser with Defrauding Its Advisory Clients 08/29/2019
LR_24580 Cambridge Capital Group Advisors, LLC (f/k/a Cambridge Capital Advisors, LLC): SEC Charges Adviser Firm and Its Principals with Defrauding Retired NFL Players 08/29/2019
LR_24576 Marcus Boggs: SEC Charges Chicago-Based Investment Professional with Stealing Client Funds 08/27/2019
LR_24574 Motty Mizrahi et al.: Indictment Issued Against Investment Adviser Named in SEC Action 08/26/2019
LR_24563 Craig Rumbaugh, Rumbaugh Financial and Desert Strategic Equity: SEC Charges Investment Adviser with Defrauding Clients 08/15/2019
LR_24558 Richard Duncan: SEC Charges Massachusetts Investment Adviser with Persuading Retail Investors to Place Money Into an Apparent Overseas Scam 08/12/2019
LR_24550 Commonwealth Equity Services, LLC d/b/a Commonwealth Financial Network: SEC Charges Investment Adviser for Failing to Disclose Conflicts Arising from Receiving Revenue Sharing On Client Investments 08/01/2019
LR_24527 Daniel Glick and David Slagter: Relief Defendant Consents to Return III-Gotten Gains in Fraud Case Against IIIinois Investment Adviser 07/02/2019
LR_24526 Thomas Conwell and Kerry Hoffman: SEC Charges Two Individuals for Fraud and Issuer for Unregistered Sale of Securities 07/01/2019
LR_24517 Amrit Chahal: SEC Obtains Final Judgment Against Virginia Investment Adviser Charged with Fraud 06/27/2019
LR_24511 Donald S. LaGuardia, Jr.: SEC Charges Founder of Bankrupt Advisory Firm with Fraud 06/24/2019
LR_24508 Edward Lee Moody, Jr.: SEC Obtains Judgment Against Ponzi Scheme Operator who is serving 13 years in prison 06/21/2019
LR_24497 Kimberly Pine Kitts: SEC Obtains Final Judgment Against Cape Cod-Based Investment Adviser Charged with Fraud 06/11/2019
LR_24464 William Gennity and Rocco Roveccio: SEC Obtains Final Judgment Against Former Broker for Defrauding Customers 05/06/2019
LR_24447 Gonzalo Ortiz: SEC Charges New Jersey Investment Adviser with Securities Fraud 04/10/2019
LR_24444 Scott Newsholme: SEC Obtains Final Judgment and Bars Investment Adviser for Defrauding Clients 04/05/2019
LR_24435 Motty Mizrahi and MBIG Company: SEC Shuts Down Fraudulent Investment Advisor Who Was Targeting Members of the Israeli-American Community 04/01/2019
LR_24434 Richard Diver: New Jersey Man Fradulently Caused Advisory Firm to Overbill Clients to pay for 'wild' personal spending 03/28/2019
LR_24418 Goldsky Asset Management and Kenneth Grace: SEC Obtains Final Judgments Against Australia-Based Investment Adviser 03/06/2019
LR_24412 SEC goes after fraud allegedly perpetrated by a former convict who spent 20 years in prison 02/27/2019
LR_24408 James Polese: SEC Announces Settlement in Fraud Case Against Former Investment Adviser 02/22/2019
LR_24390 Thomas Conrad: Court Grants Partial Summary Judgment in Fraud Case Against Advisor and Two Advisory Firms 02/04/2019
LR_24384 Former F-Squared CEO Howard Present loses his appeal on SEC fraud charges 01/28/2019
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
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