Conflicts of Interest

Concert Global Group Limited (“Concert Global”) and its CEO, Felipe Luna, raised approximately $2.2 million through unregistered offers and sales of its common stock to ...

For the first time, broker-dealers would be required to disclose their handling of institutional orders to customers should proposed rules approved July 13 by the ...

It’s now officially a trend—the SEC bringing enforcement actions against investment advisers for defrauding professional athletes. For the third time since March (IA Watch, May ...

This matter concerns investment adviser James Caird Asset Management LLP’s (“JCAM”) and its principal Timothy Leslie’s misleading disclosures concerning the trading overlap and allocations between ...

Looks like it might be time to close the book on PageOne Financial and its sole owner and principal Edgar Page. The firm and Page ...

A Maryland-based private equity adviser and its principal owner will pay more than $3.1 million to settle SEC charges they performed brokerage services and charged ...

Markusen and Cope engaged in a scheme to defraud the Funds of illegitimately claimed research expenses by misrepresenting Cope as an independent research consultant so ...

These proceedings arise out of the failure of Biscayne Capital International, LLC (“BCI”), formerly a U.S. registered investment adviser, to disclose facts giving rise to ...

FINRA has observed that many broker-dealers are paying more attention to their culture and how they manage conflicts of interest. But “there is still a ...

The number of SEC examinations resulting in a referral to the Division of Enforcement has remained fairly constant over the past five years—falling in the ...