Conquering Current Compliance Challenges
April 10, 2019 | 2:00 - 2:30 PM EST

Real-Life Lessons Learned from Peers Who’ve Had to Implement their BCPs
April 16, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: March 13, 2019 
  Includes: 23 Best Practices, 5 Peer-tested tools and 15 No Action Letters

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

 
ENFORCEMENT ACTIONS - ADMINISTRATIVE PROCEEDINGS
Release Date Respondents
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
IA-5186 03/11/2019 Kestra Private Wealth Services: $549,000 to go back to clients in share class case
IA-5185 03/11/2019 Kestra Advisory Services: Adviser agrees to pay $6.1 million in share class case
IA-5184 03/11/2019 Janney Montgomery Scott: Adviser agrees to pay $241,000 back to clients in share class case
IA-5183 03/11/2019 Hazlett and Burt & Watson: Advisers to pay $123,000 in share class case
IA-5182 03/11/2019 Coastal Investment Advisors: Adviser agrees to pay $76,000 in share class case
IA-5181 03/11/2019 Syndicated Capital: $38,000 due back to clients in share class case
IA-5180 03/11/2019 Sorrento Pacific Financial: Adviser self-reports and agrees to pay $49,000 in share class case
IA-5179 03/11/2019 Silversage Advisors: Adviser agrees to pay $342,000 in share class case
IA-5178 03/11/2019 Private Portfolio: Adviser self reports and agrees to pay $43,000 in share class case
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