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IA Rules & Regulatory Actions

Muntin misappropriated over $305,000 from one of his elderly, investment advisory clients
High was sentenced to a term of imprisonment of two and one half years with restitution for all economic loss to all victims
"To the extent that the Commission establishes different or additive requirements [from the CFTC's], dually registered entities and their market participants might need to incur ...
Witherspoon, Jr., 57, is CEO/COO and CCO of Boveda Asset Management
The Advisers Act, which prohibits an investment adviser, while acting as a principal for his own account, from knowingly selling any security to or purchasing ...
Benefits of the pooled trust investors have been put at risk because, in reality, FPC operated and managed the trusts for its own profit
Maplelane misidentified 358 short sale orders as long sale orders
The projections about future investment by the non-discretionary SMA clients lacked a reasonable basis
Although neither HighPoint nor its IARs received the 12b-1 fees paid to the Clearing Firm, HighPoint and its IARs had a conflict of interest when ...
EXAMS staff observed instances where supervised persons were not provided with a copy of the code or did not provide written acknowledgement of their receipt ...

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