Conquering Current Compliance Challenges
Aug. 14, 2019 | 2:00 - 2:30 PM EST

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

Release Date Respondents
IA-5303 07/18/2019 Swapnil Rege: SEC bans and fines fraudster who helped to take down his investment advisory firm
34-86373 07/15/2019 Nomura Securities International: $2 million in penalties for failure to supervise traders
34-86369 07/12/2019 Kwen Chun: SEC bars fraudster five years after FINRA did the same thing
IA-5295 07/11/2019 Kimm Hannan: SEC pursues a 67-year-old former IA rep sentenced to 20 years in prison for fraud
IA-5270 07/02/2019 The Parrish Group and Daryl Davis: The SEC bars former RIA who falsely claimed his advisory firm was registered with the SEC
33-10655 07/01/2019 Fieldstone Financial Management Group and Kristofor Behn: CCO barred and fined for failing to disclose conflicts and more
IC-33534 06/27/2019 State Street Bank and Trust Company: Total penalties of $88 million for overcharging mutual funds
IA-5261 06/25/2019 Amrit Chahal: SEC bars former Virginia adviser who has pulled 30 months in jail for a Ponzi scheme
IA-5258 06/20/2019 Javier Rios: Former IA barred for fraud
33-10650 06/18/2019 Wedbush Securities: $7 million to be paid for improper practices around ADRs
IA-5254 06/17/2019 Jaswant Gill: SEC charges fraudster who's serving an 11-year prison term
34-86045 06/06/2019 Kimberly Pine Kitts: SEC bars former dual-registrant rep who pleaded guilty to IA fraud
IA-5242 05/28/2019 Stephen Brandon Anderson: Former CCO fined $500,000 for overcharging clients and lying in disclosures
34-85947 05/28/2019 Sean Premock: SEC bars former IA rep who awaits sentencing after being criminal convicted of fraud
33-10639 05/16/2019 J.S. Oliver Capital Management and Ian Mausner: Former adviser settles case of using soft dollars to pay for a divorce
IA-5232 05/09/2019 Jeffrey Francis Thompson: SEC bars state-registered adviser for fraud and for failing to disclose his bankruptcy on his Form ADV
IA-5228 05/03/2019 Paul Peter Gierten: SEC bars formers rep for ripping off elderly clients
34-85633 04/12/2019 Stanley Bae: SEC bars 53-year-old former IA rep for putting clients in a bad investment
34-85415 03/26/2019 Oscar Francis: SEC bars imprisoned former rep who spent client funds on drugs and strip joints
IA-5211 03/25/2019 Neil Maxwell: SEC bars state-registered adviser for putting elderly clients in unsuitable investments
IA-5210 03/25/2019 Charles Stivers: SEC bars Colorado-based adviser who lied to investors about marijuana-related businesses
34-85408 03/25/2019 Karl Dierman: Nebraska-based adviser is barred for forgery related to loans against life insurance policies owned by others
34-85407 03/25/2019 Kevin Wanner: SEC bars Minnesota adviser now serving 11 years in prison after ripping off clients
34-85355 03/19/2019 Richard Cody: SEC bars former dual-registrant rep who pleaded guilty to criminal charges
IA-5202 03/15/2019 Talimco: Adviser settles SEC case over collateralized debt obligations for $410,000
IA-5201 03/15/2019 Grant Gardner Rogers: Former CCO settles enforcement action over CDOs for suspension and $65,000 fine
IA-5200 03/15/2019 Craig Arsenault: SEC bars former California investment adviser for using client funds for personal purposes
IA-5199 03/11/2019 Wells Fargo Clearing Services and Wells Fargo Advisors Financial Network: Highest amount charged in share class case - $17 million
IA-5198 03/11/2019 RBC Capital Markets: $11 million assess in share class allocation case
IA-5197 03/11/2019 Deutsche Bank Securities: Adviser agrees to pay $2.9 million in share class allocation case
IA-5196 03/11/2019 Stephens: Adviser agrees to pay $5.4 million in share class case
IA-5195 03/11/2019 Select Money Management: $61,000 assessed against adviser in share class case
IA-5194 03/11/2019 Raymond Lawrence Lent, (dba the Putney Financial Group and Registered Investment Advisors): $43,000 to be returned to clients in share class case
IA-5193 03/11/2019 M Holdings Securities: $1 million to be returned to clients in share class case
IA-5192 03/11/2019 First Republic Investment Management: Adviser agrees to pay $1 million in share class case
IA-5191 03/11/2019 D.A. Davidson & Co.: Adviser agrees to pay $654,000 in share class case
IA-5190 03/11/2019 Trustcore Financial Services: Adviser agrees to pay $422,000 in share class case
IA-5189 03/11/2019 Stifel and Nicolaus & Company: Adviser agrees to pay $6 million back to clients in share class case
IA-5188 03/11/2019 Spire Wealth Mangement: $594,000 due back to clients in share class case settlement
IA-5187 03/11/2019 Lockwood Advisors: $52,000 agreed to go back to clients in share class case