I have seen this happen several times now so it is definitely worth discussing. MacKensen & Company, Inc, a registered investment adviser, and the former owner of the firm, Warren…

The Securities and Exchange Commission announced this week that they have charged a former investment bank analyst with J.P. Morgan, with illegally tipping his close friend with confidential information about…

Are you aware of the recent SEC activity relating to investment advisers? The Securities and Exchange Commission (“SEC”) is now looking into advisory firms’ liquidity risk management in current exams….

The Securities and Exchange Commission (“SEC”) is continuing to focus on their exam initiative. They are working to complete more exams than ever before, especially for those firms that have…

The Securities and Exchange Commission (“SEC”) has fined and censured a broker-dealer/registered investment adviser $450,000, fined and suspended a supervisor for twelve months for failing to stop two rogue brokers…

The Financial Industry Regulatory Authority (FINRA) announced today that it has permanently barred Richard Adams, a former registered representative of Caldwell International Securities Corp., from the securities industry for churning…

With advances in technology providing access to more information and opinion than ever before, investment advisers (IA) and investment advisory representatives (IAR) must be vigilant in how they use Social…

It may only be the beginning of August, but it’s time to start focusing on the end of year routine all registered investment advisers must endure in order to remain…

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…