Investment Advisory Firm Penalized for Stealing from Clients and Lying to SEC Regulators

Timothy F. Sexton is the founder, CEO, and investment adviser representative of Bantry Bay Capital, LLC. The SEC fined the firm and Sexton $100,000 and barred him from associating with... [...]

On June 5, 2017 the United States Supreme Court held that a 5-year statute of limitations established under federal law applies “to claims for disgorgement imposed as a sanction for... [...]

The SEC suspended and fined Edward Richardson and his firm, Edward Richardson Jr., CPA, after constantly violating auditing standards and independence requirements in the course of providing independent audit services... [...]

The electronic age is both a blessing and a curse. It makes it so much more convenient to be able to send a client a quick email to ask a... [...]