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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…
Tobias Salinger of Financial Planning reports that compliance experts are saying, “President Trump’s anti-regulation agenda will yield fewer but more focused SEC and FINRA examinations.” Even so, the SEC recently…
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…
Periodically, the Division of Investment Management staff will make updates and additions to the “Frequently Asked Questions on Form ADV and IARD.” The Frequently Asked Questions (FAQs) on Form ADV…
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…
The SEC has fined a Kihei, Hawaii resident $50,000.00 and ordered the disgorgement of nearly $500,000.00 in connection with “multiple breaches” of his fiduciary duty and violations of antifraud provisions…
As of June 1st, nearly 60 of FINRA’s e-learning courses will be eligible for CE credits for CFP professionals, who must complete a minimum of 30 CE hours every two…
The SEC is seeking public opinion regarding the standard of care, conflicts of interest, regulation, disclosures, technologies, and investor confusion in relation to the standard of conduct applicable to retail…
If you have been watching or listening to the news, you may be aware of a ransomware attack known as WannaCry, WCry, or Wanna Decryptor that has affected many businesses…
Most in the industry do not consider being the perpetrator of insider trading as high risk, as most of those in the industry have no means of obtaining inside information….
As social media use continues to increase among American adults, investment firms have continued to raise new questions related to how FINRA rules apply to social medial and digital communications….
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