Joseph Goldman

Joseph Goldman

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SEC Charges Broker-Dealer and Two Affiliated Investment Advisers With Violating Whistleblower Protection Rule

On September 4, the Securities and Exchange Commission (SEC) issued an order against three investment adviser firms for violating the whistleblower protections of Rule 21F-17(a) under the Securities Exchange Act of 1934. This...more

9/10/2024  /  Broker-Dealer , Cease and Desist Orders , Enforcement Actions , Financial Services Industry , Investment Adviser , Securities and Exchange Commission (SEC) , Securities Exchange Act of 1934 , Securities Violations , Whistleblower Protection Policies , Whistleblowers

Investment Management Update - June 2022

Covering legal developments and regulatory news for funds, their advisers, and industry participants for the quarter ended March 31, 2022. ...more

6/3/2022  /  Broker-Dealer , Fiduciary Duty , Financial Industry Regulatory Authority (FINRA) , Investment Adviser , Investment Management , Securities and Exchange Commission (SEC)
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