IA Rules & Regulatory Actions

"The aura of success portrayed by the GPB and Ascendant Defendants was an illusion. In reality, GPB Capital used investor funds to cover the shortfall ...
Amogh Karney made untrue statements to an investor in connection with the offer and sale of $75,000 of securities in an investment fund that Karney ...
Van Wyk was aware that a DIA client who had entered into a limited partnership investment contract with Essex Capital was having difficulties collecting over ...
From 2013 and 2016, while she was associated with the brokerage firm, McKinley stole nearly $300,000 from the accounts of the elderly client
As rule 17f-2 assumes actual physical possession of underlying securities (i.e., the certificates)[6], you propose that the Funds cease providing the Loan Documents to their ...
The firm's Chief Compliance Officer recommended that Spitzer terminate APA’s association with the Adviser Representative however Spitzer decided not to. Now he's fined $20,000
We generally view a 'pre-existing' relationship as one that the issuer has formed with an offeree prior to the commencement of the offering or, alternatively, ...
The final rule also permits a fund’s board to designate a “valuation designee” to perform fair value determinations. The valuation designee can be the investment ...
The Division of Examinations is issuing this Risk Alert to notify investment advisers, broker-dealers, and other market participants of a recent action relating to investments ...
The settlement touches on violations of the adviser's fiduciary duty, undisclosed 12b-1 fees, errant fee calculations, suitability, hidden revenue sharing, conflicts, as well as sweep ...
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