RCW Staff

In May 2009, JS Oliver requested that the Soft-Dollar Broker reimburse JS Oliver $329,365 using soft dollar credits for a payment to Mausner’s ex-wife based ...

Although Wilson’s WSPs identify suspicious activity, list red flags, and describe Wilson’s responsibility to file SARs, Wilson failed to adequately conduct AML reviews and to ...

Rivera-Padilla admitted that beginning in January 27, 2011 and continuing through January 2016, he engaged in a conspiracy and scheme to defraud with Oscar Ferrer ...

In slide decks used to solicit investment in Canada, in the United States, and elsewhere, NextBlock and Tapscott falsely represented that as many as four ...

We want to map the inter-connectedness of regulated derivatives markets to the broader financial system and study risk transmission throughout. Undoubtedly, the CFTC’s regulatory ...

Bretas de Freitas and PCI fraudulently solicited at least $7.8 million from various victims for the defendants’ commodity pools or managed futures funds (“Funds”). ...

If you’re having difficulty making the case for sufficient resources for your firm’s compliance program, you may want to consider laying the latest speech from ...

Thousands of AXA Advisors retirement plan participants believed they were investing in certain bond funds that were “investment-grade.” Turns out a substantial portion of the ...

Undoubtedly, digital assets can be securities if they meet the Howey test. On this point, the SEC has been very clear. In 2017, before my ...

Thompson, among other things, charged his clients unauthorized, unearned, and excessive fees, forged client signatures on advisory contracts, provided clients with inaccurate fee invoices, and ...