RCW Staff
The count of the indictment to which Winstead pled guilty alleged that on April 1, 2014, Winstead, in his capacity as a Nationwide Insurance agent, ...
To entice pool participants, the defendants falsely represented that, among other things, pool participants would receive a minimum 12% guaranteed annual return; the Oasis Pools ...
The SEC’s Director of the Division of Investment Management Dalia Blass has signaled that developments on improvements to the proxy advisory process can be expected ...
FINRA’s recently released 2019 Annual Budget Summary calls out that the SRO’s regulatory responsibilities remain “extensive and complex” and continue to expand. In a letter ...
The SEC and FINRA have officially opened registration for their 2019 National Compliance Outreach Program for Broker-Dealers. The six-hour event—running from 9 a.m. to 3 ...
The SEC and FINRA have officially opened registration for their 2019 National Compliance Outreach Program for Broker-Dealers. The six-hour event—running from 9 a.m. to 3 ...
The current implementation of the SLR is biased against derivatives. It does not take into account the fact that outstanding derivative contracts in a ...
Respondents defrauded certain SJL advisory clients and at least one investor in SJL’s MarketDNA Hedge Fund LP (“Fund”) by misleading them regarding the nature and ...
Recording (4/16/2019)