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A new release from the SEC’s Division of Investment Management lays out the staff’s “views” on revenue sharing disclosure while admitting it’s not altering any ...
Firms should err on the side of disclosure when they’re facing cybersecurity threats, one of the SEC’s top enforcement officials said Oct. 23. “The fact ...
Michael Diamond once worked for Ringling Brothers but couldn’t have envisioned the circus he found himself part of when he applied to work at Worldwide ...
Cipher Technologies ($28M in AUM) in Greenwich, Conn., keeps pitching to the SEC its idea to start a closed-end bitcoin fund but once again the ...
Kevin and Amanda Merrill married in 2015. They have only themselves to blame for their separation. That’s because a federal judge Oct. 11 sentenced Kevin ...
Marian Young didn’t believe she needed an attorney to ensure she complied with Advisers Act rules when launching her internet advisory firm. She read the ...
The outcome of each case will speak to the Commission’s interpretation of how serious such offenses are and what punishment fits these violations
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Lauri London, counsel at Cohen & Buckmann, pens her analysis of the SEC's IA fiduciary duty interpretation and whether the interpretation plows new legal ground.
Alleged Fraudster Sentenced to 22 Years in Parallel Criminal Case Litigation Release No. 24645 / October 16, 2019 Securities and Exchange Commission v. Kevin B. ...
This P&P comes courtesy of Michelle Jacko, CEO of Core Compliance and Jacko Law Group in San Diego.
“Millions of Americans are committing financial suicide"
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 ...
Within two years, Eisman would because famous for having predicted – and profited from – the cause of the Great Recession
There are already 5.6 million older Americans living with Alzheimer’s, and that number is growing rapidly
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