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Paul Hastings LLP

SEC Enforcement Continues Thematic Focus on Hypothetical Performance

Paul Hastings LLP on

The SEC charged five more registered investment advisers with violating the Investment Advisers Act’s Marketing Rule by advertising hypothetical performance on their websites without adopting appropriate policies and...more

UB Greensfelder LLP

For FINRA, Unlike The SEC, Blaming The BD Always Seems To Be The Answer

UB Greensfelder LLP on

FINRA Enforcement has often been accused (again, admittedly, by me, and not too infrequently) of going after the “low-hanging fruit,” that is, taking the easy case when it presents itself. Putting aside the question whether...more

Dorsey & Whitney LLP

SEC Charges Advisory Firm to Sports Figures and Officers With Fraud

Dorsey & Whitney LLP on

The SEC filed two actions centered on an advisory firm that serves on high net worth individuals, primarily current and former professional athletes. The actions are based on the theft of client funds and a failure to...more

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