Client Communications

“A” is hereby granted relief from the requirement in Commission regulation 4.7(b)(3) to file with NFA and distribute to participants an annual report for fiscal ...

A proposal that would provide an exception to the prohibition on projecting performance to permit brokerage firms to distribute a customized hypothetical investment planning illustration ...

The former president and CEO of a Connecticut-based dual registrant and his lawyer friend of over 25 years have settled SEC charges of fraudulently scheming ...

In soliciting investments, Navarra provided investors with materially misleading private placement memoranda (“PPMs”). These PPMs (1) overstated Concert Global’s subsidiaries’ assets under management, (2) overstated ...

The nation’s largest public pension fund has been engaged in a bitter dispute with Thomas H. Lee Partners over accelerated monitoring fees, reports our sister ...

CSC used email addresses other than those with the Firm’s domain name—@craigscottcapital.com—to electronically receive more than 4,000 faxes from customers and other third parties. These ...

A CPO requested exemptive relief from the annual report requirement in Regulation 4.7(b)(3), to allow it to file an annual report for its exempt pool ...

A peer shares this document, which is used to have clients acknowledge how the firm is paid and other compensation information.

Come next June, broker-dealers will be required to include on their websites a “readily apparent reference” and hyperlink to BrokerCheck. FINRA posted on Dec. 7 ...

Financial advisers, the fund manager and other CAI staff involved in the marketing of the funds made false and misleading statements regarding the risks associated ...