Enforcement

Burns, the majority owner and control person of Southport Lane Management, LLC, acquired insurance companies and thereby obtained the ability to control the investment decisions ...

We’ve told you before of James Winkelmann and his St. Louis-based advisory firm, Blue Ocean Portfolios (IA Watch, March 23, 2017). He had the misfortune ...

A focus on cryptocurrency offerings has been a major driver in pushing state enforcement actions against unregistered firms and individuals to new heights. NASAA’s annual ...

Two assurances can be pulled from the SEC’s use of administrative law judges four months after the nation’s highest court struck down the system as ...

Cadaret Grant & Co. has 930 registered reps and investment advisers located in 500 branch offices across 27 states. But the salient number for FINRA ...

It was billed as the first disciplinary action by FINRA involving cryptocurrencies. But at essence, the case against Timothy Tilton Ayre boils down to allegations ...

Hudson Housing Capital ($3.2B in AUM) in New York had a problem meeting deadlines, and the SEC took notice.   The adviser failed to deliver ...

Although it filed a number of SARs relating to suspicious transactions of certain terminated Advisers, Respondent failed to file SARs on the suspicious transactions of ...

Be on the lookout for signs of a trader who immediately cancels futures orders just after placing them.   That behavior is highlighted in a ...

We’ve written before about the old wire transfer scheme: an imposter hacks into a customer’s e-mail account to make unauthorized third-party withdrawals (BD Watch, July ...