Conquering Current Compliance Challenges
June 12, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: May 15, 2019 
 
Includes: Best Practices, Key Regulatory Issues and Compliance Tips
 
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
34-85897 05/20/2019 Paul B. Powers, Esq.
34-85891 05/20/2019 UBS Financial Services Incorporated of Puerto Rico and Ramiro L. Colon, III
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
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
IA-5177 03/11/2019 PlanMember Securities Corporation: Adviser self reports and agrees to pay $3.5 million in share class case
IA-5176 03/11/2019 CUSO Financial Services: Adviser self reports and agrees to pay $296,000 in share class case
IA-5175 03/11/2019 AXA Advisors: Adviser self reports and agrees to pay $1.1 million in share class case
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