RCW Staff

The good news is that the recently adopted Form CRS has been further condensed to a maximum two-page disclosure document for investment advisers and broker-dealers ...

Let’s face it—the two-page allotment for your Form CRS disclosures is not a lot of space any way you look at it. Being clear, along ...

For the lone dissenter at last week’s SEC open meeting considering the fiduciary duty proposals the issue was simple—in his mind the rules didn’t require ...

They are well-known names now in the financial services industry—Kokesh, Lucia, Robare, and Lorenzo. For the SEC, they represent significant recent court decisions impacting the ...

Dunkerley engaged in a scheme to defraud investors by orchestrating the acquisition of AAM and Hughes, and using their respective client funds to purchase ...

The complaint alleged that Aquino persuaded at least seven customers to maintain securities trading accounts with him at the firm and assured them that ...

Recording (06/11/2019)

Kitts was charged by the SEC for her six-year scheme to steal money from client accounts by forging client signatures on withdrawal requests from variable ...