SEC Actions

The scheme was to fraudulently bill clients for fees to which Yellowstone Partners was not entitled under the terms of the investment agreements

Global failed to have reasonable written policies and procedures in place to confirm that the LPA and PPM were consistent on key points, including in ...

Firms should confirm that the disclosures in their relationship summaries comply with the adopted instructions to Form CRS

JPMorgan did not promptly produce business communications sent or received using unapproved communications methods to the staff in the course of Commission investigations. As a ...

Wedbush’s WSPs provided that, if any of the above warning signs appears, a registered representative should bring it to the attention of the Wedbush Sales ...

Siniscalchi was an associated person and Chief Compliance Officer of Indio Entertainment, an investment adviser registered in California as an exempt reporting adviser

This is the SEC's 9th annual report around its use of Form PF data

EXAMS contacted NLCA’s Chief Compliance Officer by email on October 14, 2020 to alert him that the firm had failed to file Form CRS. NLCA, ...

Investment advisers should consider whether any advice regarding LIBOR-linked investments and applicable risks is consistent with their clients’ goals

Comments should be received on or before January 3, 2022