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An RIA tempted the University of Pittsburgh to fork over $21 million last month even as its investment house of cards was folding.An unregistered hedge ...
The new director of the SEC's Enforcement Division is Robert Khuzami, who was a federal prosecutor in New York City for 11 years.For the last ...
With the SEC announcing Robert Khuzami as its new head of Enforcement, expect agency enforcers to be looking to make a bold statement. Consider the ...
Advisers Act compliance lapses by RIA Merrill Lynch have added up to a $1 million SEC penalty for the firm. The case contends advisory reps ...
Two new exam letters obtained by IA Week highlight regulators' new interests: firms' relations with broker-dealers, adviser's dealings with Bernie Madoff and their pursuit of ...
The advisory profession sustained another black eye with the mysterious disappearance this month of a 76-year-old Florida hedge fund manager who has apparently vanished with ...
Even as the Bernie Madoff scandal continues to pan out, the SEC may be returning to a past investigation of a Wall Street big shot ...
Wayne Cassaday's investment advisory business grew rapidly, topping $30 million AUM within three years. The president and CCO of Battery Wealth Management in Mount Pleasant, ...