Pay-to-Play

Paulsen and Kelley planned a ski trip for the purpose of entertaining Kang and his girlfriend. The complaint alleges that Kang told Paulsen and Kelley ...

The Advisers Act’s pay-to-play rule clearly states that a violation of the rule prohibits an adviser from receiving compensation from a public pension plan for ...

Three covered associates of Respondent made campaign contributions to candidates for elected office in California and Rhode Island, which offices had influence over selecting investment ...

A covered associate of Respondent made a contribution to the federal election campaign of an elected state official in Wisconsin and that state office had ...

In April 2014, a covered associate of Respondent made a campaign contribution to a candidate for elected office in Illinois, which office had influence over ...

With another election nearing, this may be a good time to remind staff of your pay-to-play policies – especially after two more advisers have applied ...

Two new amended applications for exemptive relief under the SEC’s pay-to-play rule suggest the agency wants to see more evidence of a robust response by ...

Bradford Eichler had grown up with Capi Peck’s ex-husband. Their friendship dated back decades. So when Peck ran for the job of director of the ...

It’s taken years for the SEC’s ban on third-party solicitation under its pay-to-play rule to take effect – largely because the Commission waited until FINRA ...

Few executives blunder as big as Mark Wiedman did when the Blackrock Advisors’ ($544B in AUM) senior managing director contributed $2,700 to last year’s Presidential ...