RCW Staff

SEC Charges Massachusetts Investment Adviser with Persuading Retail Investors to Place Money Into an Apparent Overseas Scam Litigation Release No. 24558 / August 12, 2019 ...

The Commission’s complaint alleged that, from at least November 2012 through July 2016, Drake deceived two of his clients about the advisory fees they were ...

Lehman Brothers Holdings Inc. Aug. 12, 2019   Investment Company Act of 1940 – Section 7 August 12, 2019 Response of the Chief Counsel’s Office ...

RELEASE Number 7995-19 August 12, 2019 CFTC Charges International Enterprise with Operating a $103 Million Fraudulent Binary Options Trading Scheme  Washington, DC — The U.S. ...

RELEASE Number 7994-19 August 9, 2019 Federal Court Orders Defendants to Pay More Than $2.7 Million in a Forex Fraud Scheme Washington, DC — The ...

The Commission’s complaint alleged that, from at least 2014 until October 2018, Kelly raised more than $1,000,000 from at least 12 investors, promising that he ...

Cleveland, Kondo, and Capital: Remarks before the American Chamber of Commerce Commissioner Hester Peirce Tokyo, Japan Aug. 7, 2019 It is an honor to be ...

XAI Octagon Floating Rate & Alternative Income Term Trust Aug. 6, 2019   Response of the Office of Chief Counsel Division of Investment Management August ...

Cushing MLP & Infrastructure Total Return Fund and Cushing Renaissance Fund Aug. 6, 2019   RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION OF INVESTMENT ...

SEC Charges Investment Adviser for Failing to Disclose Conflicts Arising from Receiving Revenue Sharing On Client Investments Litigation Release No. 24550 / August 1, 2019 ...