Carl Ayers
The client, a retired businessman in his 80s, had been with Morgan Stanley for decades before James Polese became his rep eight years ago. The ...
Merrill Lynch’s decision late last year to pay $26 million to settle allegations relating to its anti-money laundering program shows the problems large firms face ...
Mark Twain famously stated that there are three kinds of lies: “lies, damned lies, and statistics.” That saying comes to mind with news that CFTC ...
An avalanche of eight enforcement actions from the CFTC has hit traders around the world, plus three of the planet’s largest financial services firms. ...
This is an initial document request letter sent to an investment adviser located within the SEC's Philadelphia Regional Office.
A peer passes along the firm's initial document request letter from a recent SEC exam. This came out of the SEC's Philadelphia Regional Office.
If a material change occurs at your firm that triggers a prompt update of your Form ADV, be ready to encounter many more new questions ...
Bitcoins and other cryptocurrencies may be all the rage but the SEC’s Division of Investment Management states to slow down. Two advisers that sought ...
When hard times pummeled AmericaFirst Capital Management ($93M in AUM) of Roseville, Calif., the adviser turned to its clients to keep it afloat. The problem ...