Disclosure

After achieving 100% of its planned milestone’s last year, the SEC’s Division of Investment Management is actively moving on a number of priorities comprising its ...

Gooder can clearly do better. Grenville Gooder, Jr., a 55-year securities industry veteran, and his SEC-registered advisory firm Ascension Asset Management ($152M in AUM), were ...

We had told you in December to expect a slew of settlements from advisers that took advantage of the SEC’s self-reporting initiative (IA Watch, Dec. ...

Some advisers making large acquisitions could trigger federal notification requirements

Promises of a high level of service at a low cost are always enticing but sometimes those promises prove empty. Such was the case for ...

Many investors these days seem focused on non-investment matters at the expense of concentration on a sound allocation of resources to their highest and best ...

While Valley Forge told clients that, “Similar services by other brokers may be offered at higher or lower prices elsewhere,” its rates were significantly higher ...

One takeaway from those 13 advisers that settled with the SEC for failing for years to file Form PFs is to be careful in choosing ...

Open up Aegis Capital’s ($507M in AUM) latest Form ADV brochure and you’ll read this very intriguing nugget under material changes: The Firm has been ...

FINRA is again questioning the due diligence firms are conducting on private placement offerings (BD Watch, Dec. 20, 2018). But what exactly does the SRO ...