Carl Ayers
In explaining why he voted not to take two recent enforcement actions against CCOs, SEC Commissioner Daniel Gallagher has again urged his colleagues to act ...
The old phrase “do what you say you’re going to do” best describes why Eugene Mason, CCO at SFX Financial Advisory Management Enterprises ($15M in ...
This is a copy of an SEC document request letter sent to an investment adviser within the Philadelphia Regional Office of the SEC.
An initial sign of potential trouble for a firm under SEC examination is the relationship between business/operations and legal/compliance, said Jina Choi, regional director of ...
It was the case advisers had been closely watching for months. An SEC ALJ June 4 dismissed Advisers Act charges against The Robare Group ($160M ...
The latest skirmish in the Timbervest ($1.3B in AUM) vs. the SEC case will feature the commissioners deciding if the firm and its principals violated ...
As business divorces go, the split between Scott McCaskill and David Urovsky spilled its fair share of bad blood. Both would be terminated by Raymond ...
IA Watch has learned that some industry groups are asking the SEC to come out with additional guidance about fund advisers and gifts and entertainment. ...