Investment Advisers

On April 15, 2021, EXAMS again contacted The Cavanaugh Group but this time to announce an examination relating to the firm’s failure to file Form ...

EXAMS contacted Sauberan’s Chief Compliance Officer by email on October 14, 2020 to alert him that the firm had failed to file Form CRS. Sauberan, ...

QAM failed to comply with the Requirements by its regulatory deadlines, and began complying only after the Division of Examinations (“EXAMS”) contacted the firm regarding ...

EXAMS again contacted Paratus but this time to announce an examination relating to the firm’s failure to file Form CRS. Paratus finally filed Form CRS ...

O’Brien Greene failed to comply with the Requirements by its regulatory deadlines, and began complying only after the Division of Examinations (“EXAMS”) contacted the firm ...

Respondent shall, within 10 days of the entry of this Order, pay a civil money penalty in the amount of $97,523 to the Securities and ...

Mighty Oak Strong America failed to comply with the Requirements by its regulatory deadlines, and began complying only after the Division of Examinations (“EXAMS”) contacted ...

Medallion Wealth failed to comply with the Requirements by its regulatory deadlines, and began complying only after the Division of Examinations (“EXAMS”) contacted the firm ...

MFM was further required to deliver its Form CRS to existing retail investor clients by July 30, 2020. The firm failed to file and deliver ...

Bysko failed to comply with the Requirements by its regulatory deadlines, and began complying only after the Division of Examinations (“EXAMS”) contacted the firm regarding ...