Riding the Robo-Advisor Wave

In an age of Instagram, Instacart, and instant gratification in general, a more tech-savvy generation is looking to a streamlined way to save and invest their money. This is evidenced... [...]

Certain Investment Advisers need to get ready for another round of changes. On June 12, 2015, the U.S. Securities and Exchange Commission (“SEC”) published a proposed rule recommending amendments to... [...]

We regularly encounter this question when working with investment advisors interested in establishing their own new RIA firms, or existing firms going through the renewal process at the end of... [...]

Older Americans have often been and continue to be the targets of various fraud including investment fraud. The SEC issued an Investor Alert for seniors in June of this year... [...]

The Securities and Exchange Commission (“SEC”) recently charged a Greenwich, Conn.-based investment advisory firm and its two owners with fraudulently inflating the prices of securities in the hedge fund portfolios... [...]

The Securities and Exchange Commission (“SEC”) recently issued fraud charges against an investment adviser and the adviser’s owner for improper trade allocation. The charges stemmed from the adviser’s alleged allocating... [...]