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IA Rules & Regulatory Actions

TCA and GP fraudulently inflated the TCA Funds’ net asset value and performance results through the recording of non-binding transactions
The Form ADV brochures failed to disclose information about an unpaid $208,700 judgment against Clark and Soteira in favor of a former client
Cowen determined that a government money market fund, as opposed to another type of money market fund, was an appropriate cash sweep vehicle for its ...
Buttonwood and McGraw therefore had a financial conflict of interest with their clients—they had an incentive to select investments for clients that would allow Buttonwood ...
By making the false and misleading statements about the fee markups in its Firm Brochures or otherwise, Roberts and TCFG violated the fiduciary duties they ...
State regulators opened 5,501 new investigations last year, focusing on  digital assets, precious metals, social media, and self-directed individual retirement accounts, NASAA says in its ...
In total, on about 3,000 occasions, Polevikov used this material non-public information to execute trades in his wife’s brokerage account in the same securities and ...
Helikon did not qualify for an exception to Rule 105 when it purchased shares in the Offering
Certain MMLIS and MSI advisory clients to invest in share classes of mutual funds in the Clearing Broker’s NTF and TF Programs that resulted in ...
Korth did not have policies and procedures concerning riskless principal transactions until March 2018. The policies and procedures Korth adopted in March 2018 were not ...
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