Conflicts of Interest

Respondents failed, however, until long after making the investments, to inform the investors in the foreign currency-focused fund that some of the fund’s assets were ...

KMS Financial Services ($5.9B in AUM) in Seattle freely disclosed in its Form ADV that it had a relationship with a clearing broker. The dual-registrant’s ...

This matter concerns KMS, a dually-registered investment adviser and broker dealer that failed, in its capacity as an investment adviser, to disclose to its advisory ...

Charging your clients additional fees for no additional services is sure to garner scrutiny from the SEC. The Connecticut-based Momentum Investment Partners (dba as Avatar ...

Take in one more sign that there’s a new sheriff in town. A new decision by an SEC ALJ bars an adviser who has spent ...

The former president and CEO of a Connecticut-based dual registrant and his lawyer friend of over 25 years have settled SEC charges of fraudulently scheming ...

Leaders of a New York-based private equity adviser are used to judging the value of potential portfolio companies. They hired an IT company and then ...

These proceedings arise out of the failure by a registered investment adviser and its principals to disclose potential conflicts of interest to its private equity ...

This Guidance Update is focused on disclosure issues and certain procedural requirements with offering variations in Fund sales loads and new Fund share classes.3 We ...

The SEC's complaint alleged that Interinvest and Black funneled more than $17 million in client assets into four financially troubled Canadian penny stock companies in ...