Hudson Housing Capital ($3.2B in AUM) in New York had a problem meeting deadlines, and the SEC took notice. The adviser failed to deliver ...
If your firm pays a radio station to run an ad, you better tune in. That’s one lesson from the SEC enforcement action against ...
Be on the lookout for signs of a trader who immediately cancels futures orders just after placing them. That behavior is highlighted in a ...
We’ve written before about the old wire transfer scheme: an imposter hacks into a customer’s e-mail account to make unauthorized third-party withdrawals (BD Watch, July ...
If you manage a mutual fund, get ready. IA Watch has learned that OCIE has launched an initiative probing advisers of registered funds – and ...
It seems like an idea that only plaintiffs’ lawyers could love: forcing firms to divulge the amount of insurance they carry when they are sued ...
Jeffrey Stevenson has run his own private equity firm, VSS Fund Management ($766M in AUM), from New York since 1982. The SEC says he put ...
Thanks to a roaring stock market, SEC-registered investment advisers collectively manage more than $82 trillion in assets – a 16% gain over the previous year, ...
That old phrase “the left hand doesn’t know what the right hand is doing” comes to mind given that an advisory firm has just settled an ...
Has the annual compliance meeting outlived its usefulness? Some of your peers think so, and FINRA itself may be open to reconsidering it. You know ...