RCW Staff

LaGuardia, Jr., a resident of Lavallette, New Jersey, who controlled the investment adviser, L-R Managers, LLC, misappropriated investor money from private funds advised by L-R ...

The SEC alleged that Murakami misappropriated investor funds for business and personal expenses and made approximately $1.3 million in Ponzi-like payments. The SEC also alleged ...

Regardless of whether the CFTC grants an award, the CFTC will not disclose any information which could reasonably be expected to reveal a whistleblower’s identity, ...

Golub Capital Investment Corporation, et al. June 24, 2019   Investment Advisers Act of 1940 – Section 205(b)(3)   June 24, 2019 Response of the ...

Stradley Ronon Stevens & Young, LLP June 24, 2019 Investment Company Act of 1940 – Sections 5(b), 13(a)(1) and 34(b) June 24, 2019 RESPONSE OF ...

On June 27, 2018, the SEC charged Edward Lee Moody, Jr. and his wholly-owned investment adviser firm CM Capital Management, LLC, with operating a Ponzi ...

the broker, Donald J. Fowler, while registered with J.D. Nicholas & Associates Inc., a now-defunct broker-dealer located in Syosset, New York, engaged in fraud when ...

The Commission’s complaint alleged that Payton committed insider trading by trading on material, nonpublic information that he received in breach of a duty regarding the ...

A $42 million settlement announced June 14 by the SEC now represents the largest recovery ever against a broker-dealer in the Commission’s ongoing investigation of ...

Now that the SEC has completed its ground-breaking fiduciary duty rulemaking, the Commission can now turn its sights on other rulemaking initiatives currently in the ...