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IA Rules & Regulatory Actions

Settlement follows criminal case plea that could land the CCO in jail
The SEC is proposing amending rule 0–5 under the Investment Company Act to establish an expedited review procedure for applications
Alleged Fraudster Sentenced to 22 Years in Parallel Criminal Case Litigation Release No. 24645 / October 16, 2019 Securities and Exchange Commission v. Kevin B. ...
Headshot of Rick Fleming
Dual-Class Shares: A Recipe for Disaster Rick Fleming Investor Advocate   ICGN Miami Conference, Miami, Florida Oct. 15, 2019 Thank you, Kerrie Waring, for your ...
SEC Charges Registered Investment Adviser and Broker-Dealer with Defrauding Advisory Clients Litigation Release No. 24643 / October 15, 2019 Securities and Exchange Commission v. Cetera ...
These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by registered investment adviser Equity Services, Inc. in connection with its mutual fund ...
These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by registered investment adviser Cargile Investment Management, Inc. in connection with its mutual ...
These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by registered investment adviser Bill Few Associates, Inc. in connection with its mutual ...
MAFM purchased, recommended, or held for advisory clients mutual fund share classes that charged 12b-1 fees instead of lower-cost share classes of the same funds ...
These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by registered investment adviser Wedbush Securities, Inc. in connection with its mutual fund ...
These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by registered investment adviser Saxony Capital Management, LLC in connection with its mutual ...
These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by registered investment adviser IPG Investment Advisors, LLC in connection with its mutual ...
SEC Charges Connecticut Man with Ponzi Scheme Defrauding Retail Investors Litigation Release No. 24629 / September 30, 2019 Securities and Exchange Commission v. James T. ...
These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by registered investment adviser Independent Financial Group, LLC in connection with its mutual ...
Misappropriated money from retail investors that was supposed to be invested in private funds
These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by registered investment adviser IC Advisory Services, Inc. in connection with its mutual ...
Advisers systematically overbilled more than 100 of its client accounts for a total amount of over $11.8 million
These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by registered investment adviser Henley & Company Wealth Management, LLC in connection with ...
Fixelle distributed false account statements indicating that investors funds were fully invested and overall earning positive returns. In reality, however, the Complaint alleged, Fixelle misappropriated ...
These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by registered investment adviser Comprehensive Capital Management, Inc. (“CCM”) in connection with its ...
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