The SEC alleges a Wisconsin advisory firm and two of its principals took millions in undisclosed kickbacks, breached their fiduciary duties, misrepresented the quality of ...
A copy of an SEC document request letter from May 2009.
SIPC trustee's lawsuit, filed in May 2009, against Fairfield Greenwich, the larger feeder fund to Bernard L. Madoff Investment Securities.
You don't have to recertify a qualified client due to the deflated market - but you should if the client provides new money.That's the summary ...
Two investors in their 60s are seeking big money from their investment adviser, who they claim breached its fiduciary responsibility by keeping the retired couple ...
At least one SEC commissioner stands against the idea of creating an SRO for investment advisers. Commissioner Luis Aguilar staked his ground, saying the SEC ...
The SEC is seeking more money from Congress in FY 2010 even as it expects the percentage of registered investment advisory firms examiners will be ...
One regulator that would look out for systemic risk teamed with a "systemic risk council" of regulators is the approach favored by SEC Chairman MarySchapiro.She ...
A new product. A new type of security. A revised compensation model within your firm. These are all potential breeding grounds for conflicts of interest. ...
The SEC's first regional CCOutreach meeting since the market meltdown, Madoff, Stanford and the rest reflected the times. The Dallas gathering May 11 focused on ...