Investment Advisers

Perini Capital and CEO Michael Perini charged with directing principal trades without first providing disclosure and obtaining client consent

Muntin misappropriated over $305,000 from one of his elderly, investment advisory clients

"I think it’s important to shine light on these markets before any future such tremors arise"

High was sentenced to a term of imprisonment of two and one half years with restitution for all economic loss to all victims

"To the extent that the Commission establishes different or additive requirements [from the CFTC's], dually registered entities and their market participants might need to incur ...

Witherspoon, Jr., 57, is CEO/COO and CCO of Boveda Asset Management

The Advisers Act, which prohibits an investment adviser, while acting as a principal for his own account, from knowingly selling any security to or purchasing ...

"Today’s agenda also includes the SEC’s proposal on SPACs. SPACs, as you know, go public in two stages .... these paths don’t offer the same ...

"As you consider the proposal, be mindful of the fact that it addresses more than just SPACs; for example, it would deem any business combination ...

"We also benefit from both private and public markets. Private capital markets, such as venture capital, have brought new ideas to market faster and more ...