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

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

Release Date Respondents
34-86988 09/17/2019 Morgan Stanley Smith Barney: $225,000 fine assessed by SEC for MSRB violations related to swap deals
33-10689 09/17/2019 Raymond James & Associates, Raymond James Financial Services and Raymond James Financial Services Advisors: $15 million fine for compliance shortcomings
IA-5346 09/16/2019 AST Investment Services, Inc. and PGIM Investments: $32 million fine against adviser in securities lending case that began with CCO escalating the matter
34-86964 09/13/2019 Mitchell Yanow: SEC bars Stifel Nicolaus for fraud
34-86962 09/13/2019 Daniel Levine: SEC bars former dual-registrant rep for lying to clients about his brother's criminal past in bitcoin scheme
34-86932 09/11/2019 William Apostelos: SEC files civil charges against a state-registered IA who sits in prison for fraud
34-86860 09/04/2019 Eric Larson Sampson: SEC bars former state IA and B-D after criminal conviction
IA-5336 09/03/2019 Lefavi Wealth Management: $1.2 million fine against adviser for best ex, disclosure and compliance lapses
34-86856 09/03/2019 Karen McKinley: SEC goes after an imprisoned rep who stole from an elderly client
IA-5332 08/27/2019 Stephen Browere: SEC bars state-registered adviser for fraud
IA-5330 08/26/2019 Laurel Wealth Advisors: $100,000 fine against adviser that failed to supervise and delayed in implementing compliance P&Ps
34-86761 08/26/2019 Joseph Buchanan: SEC bars rep for cherry-picking
34-86710 08/20/2019 Financial Sherpa and James Beyersdorf: SEC bars and fines a state-registered adviser for cherry picking trades
34-86701 08/16/2019 Thomas Gillons: SEC bars former rep with a dual-registrant after criminal conviction on wire fraud
IA-5322 08/15/2019 Christopher Dougherty: SEC bars state-registered adviser for his role in a Ponzi scheme
34-86656 08/14/2019 Chris Kubiak: Long-time rep barred for criminal scheme
34-86641 08/13/2019 Michael Frew: SEC bars former 26-year veteran B-D/IA rep for fraud
IA-5318 08/12/2019 Jeremy Joseph Drake: SEC moves to act against adviser who overcharged fees
34-86540 08/01/2019 Kendall Groom, CPA: 60-year-old adviser barred and fined for 'diverting' client trust funds to himself
34-86522 07/31/2019 Jonathan Brosk: Former IA staffer fined and barred for engaging in risky uncovered call options
IA-5307 07/24/2019 N. Gary Price: SEC bars and fines recidivist IA for failing to disclose conflicts
34-86446 07/24/2019 Foundations Asset Management, Michael Shamburger and Rob Wedel: Fines for an adviser and its principals for neglecting to disclose conflicts of interest
IA-5305 07/19/2019 Account Management, Christopher de Roetth and Peter de Roetth: 90-year-old firm founder fined after his RIA ripped off 92-year-old client suffering with 'senile dementia'
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