IA Compliance: The Full 360° View East 
March 7-8, 2019 | Washington, D.C.

UPCOMING WEBINARS

Conquering Current Compliance Challenges
Feb. 13, 2019 | 2:00 - 2:30 PM EST

Strategies to Make this Year’s Form ADV Update a Breeze
Feb. 19, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: January 16, 2019 
  Includes: 23 Best Practices, 5 Peer-tested tools and 15 No Action Letters

The SEC Examinations Priorities Handbook
Includes: 28 Best Practices, 20 Document Request Letters and 6 OCIE Risk Alerts

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
34-84968 12/26/2018 Walter John Dubiel: SEC bars rep for sharing client account log-in credentials with a colleague
34-84962 12/26/2018 Warren Nadel: SEC bars a former CCO at a dual registrant for ripping off clients
IA-5093 12/21/2018 Timbervest: SEC drops charges in five-year-old case against adviser, citing a pending settlement
IA-5088 12/21/2018 Black Diamond Asset Management and Robert Wilson: SEC revokes IA registration and bars its principal and CCO for lying about the firm's AUM
IA-5087 12/21/2018 Hedgeable: Robo-adviser fined $80,000 for advertising violations; CCO didn't realize social media posts had to be reviewed
IA-5086 12/21/2018 Wealthfront Advisers and f/k/a Wealthfront: Robo-adviser fined $250,000 for tweeting testimonials, paying a bloggers for referrals
IA-5084 12/21/2018 PPS Advisors and Lawrence Nicholas Passaretti: Former adviser must pay clients $700,000 for mutual fund allocation violations
IA-5083 12/21/2018 American Portfolios Advisors: Firm must repay clients $850,000 for mutual fund share class allocation issues
34-84919 12/21/2018 Mohammed Riad and Kevin Timothy Swanson: SEC bars and fines two portfolio manager for misleading disclosures in case where investors lost $45 million
34-84918 12/21/2018 Thoroughbred Financial Services, Thomas Jenkins Parker, and Lawrence Randall “Randy” Hartley: Fines for officials at dual registrant in mutual fund share class case
IA-5085 12/20/2018 Sterling Global Strategies: Adviser fined $175,000 for using improper back-tested performance advertising
34-84890 12/20/2018 James Polese: SEC bars former Morgan Stanley rep who was sentenced to five years in prison for fraud
IA-5077 12/18/2018 Ancora Advisors: $100,000 fine assessed against adviser that violated the pay-to-play rule
33-10587 12/18/2018 Chris Rosenthal: $300,000 fine and an industry bar for former UBS adviser for 'parking' and 'flipping' municipal securities
IA-5073 12/12/2018 Richard Kessler: SEC bars state adviser convicted of fraud in New Mexico
34-84807 12/12/2018 Landaas & Company and Robert Landaas: Compliance program faulted for best ex violations, $600,000 fine plus CCO must undergo training
33-10581 12/03/2018 Fifth Street Management: $4 million in fines against former large IA for improper allocation of expenses
IA-5066 11/19/2018 Mark Hotton: Imprisoned former Oppenheimer IA is barred by the SEC
IA-5065 11/19/2018 Retirement Capital Strategies: $50,000 fine against adviser that failed to employ client fee breakpoints
33-10574 11/16/2018 Paragon Coin: $250,000 fine in case that declares digital token sold via Blockchain to be securities
IA-5064 11/09/2018 Eldrick Woodley d/b/a Woodley & Co. Wealth Strategies: SEC files charges against a state-registered adviser for alleged fraud
IA-5062 11/06/2018 Mark Elste: SEC fines former IA CEO $45,000 for denying compliance adequate resources
IA-5061 11/06/2018 Pennant Management: Defunct adviser fined $400,000 for due diligence failures and an under-resourced compliance department
IA-5057 10/18/2018 John Rogicki: IA rep who ripped off a charity where he was a trustee and IA is barred; he's in prison serving up to seven years
34-84359 10/04/2018 Paul Rampoldi: SEC files charges against former dual-registrant rep who was convicted criminally of insider trading
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