Conflicts of Interest

It’s now officially a trend—the SEC bringing enforcement actions against investment advisers for defrauding professional athletes. For the third time since March (IA Watch, May ...

This matter concerns investment adviser James Caird Asset Management LLP’s (“JCAM”) and its principal Timothy Leslie’s misleading disclosures concerning the trading overlap and allocations between ...

Looks like it might be time to close the book on PageOne Financial and its sole owner and principal Edgar Page. The firm and Page ...

A Maryland-based private equity adviser and its principal owner will pay more than $3.1 million to settle SEC charges they performed brokerage services and charged ...

Markusen and Cope engaged in a scheme to defraud the Funds of illegitimately claimed research expenses by misrepresenting Cope as an independent research consultant so ...

These proceedings arise out of the failure of Biscayne Capital International, LLC (“BCI”), formerly a U.S. registered investment adviser, to disclose facts giving rise to ...

FINRA has observed that many broker-dealers are paying more attention to their culture and how they manage conflicts of interest. But “there is still a ...

The number of SEC examinations resulting in a referral to the Division of Enforcement has remained fairly constant over the past five years—falling in the ...

As digital investment advice tools – so called robo-advisors – increasingly play an important role in wealth management, FINRA is cautioning that investor protection should ...

The SEC has brought its first-ever fiduciary duty case against a municipal advisor for failing to disclose a conflict of interest to a municipal client. ...