Disclosure

Allegedly reaping over a half-million dollars in ill-gotten gains by “cherry-picking” profitable trades and “double-dipping” on fees has resulted in SEC fraud charges against an ...

Steve Luparello, our Director of the Division of Trading and Markets, is about to update you on some of our equity market structure work and ...

The Institute for the Fiduciary Standard Sept. 19 announced a new program that will allow fiduciary advisors to better show investors how they serve clients’ ...

Private equity firms continue to strengthen disclosure to limited partners about co-investment programs as the SEC maintains its emphasis on transparency, according to a lawyer who works with GPs. ...

Initially signaled back in January in its 2016 exam priorities letter, the SEC’s Office of Compliance Inspections and Examinations confirmed Sept.12 that it will examine ...

Among other things, AST stated that all of the subadvisory agreements may be terminated at any time, without penalty, by Orinda. The disclosures in the ...

If there’s one solid takeaway from the recent RiverFront enforcement action it’s to be as clear as you can in describing your step-out trades within ...

Investment advisers failing to disclose loans from broker-dealers to their clients are squarely in the crosshairs of the SEC’s exam and enforcement staffs. This message ...

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 ...

Concert Global Group Limited (“Concert Global”) and its CEO, Felipe Luna, raised approximately $2.2 million through unregistered offers and sales of its common stock to ...