Krista Fuller

Krista Fuller

BakerHostetler

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SEC Finds Investment Adviser CEO Liable for Failing to Supervise High-Risk Representative

On Nov. 3, 2022, the SEC announced a consent order against a registered investment adviser (RIA) and its chief executive officer (CEO) for failing to reasonably supervise one of the RIA’s investment adviser representatives...more

12/5/2022  /  Compliance , Consent Order , Enforcement Actions , Investment Adviser , Negligent Supervision , Policies and Procedures , Registered Investment Advisors , Securities and Exchange Commission (SEC) , Supervision
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