Longtime Merrill Lynch Rep Faces Prison for Overcharging Clients

Thomas Buck, a dually registered Investment Adviser Representative who worked at Merrill Lynch for 33 years prior to being terminated in 2015, now faces prison following his guilty plea on... [...]

The Securities and Exchange Commission (“SEC”) has announced, under a new Share Class Selection Disclosure Initiative (“SCSD Initiative”), that it will not seek civil penalties against eligible investment advisers who... [...]

Being named as supervisor of any registered investment advisor or broker dealer comes with a great deal of responsibility, and risk. This is why it is very important for all... [...]

On December 5, 2017, the Securities and Exchange Commission (“SEC” or the “Commission”) filed a Complaint in the United States District Court for the Southern District of Texas against James... [...]