Brieanna Wheeland

Brieanna Wheeland

Ballard Spahr LLP

Contact  |  View Bio  |  RSS

Latest Publications

Share:

Investment Management Update

In July 2014, the SEC settled the previously reported proceeding involving Chariot Advisors, and its former owner, Elliott Shifman, concerning charges of violating and aiding and abetting the violation of Section 15(c) of the...more

7/11/2014 - 401k Anti-Retaliation Provisions Enforcement Actions ERISA EU Investment Advisers Act of 1940 Municipal Advisers Mutual Funds Sarbanes-Oxley SCOTUS SEC Section 15(c) Settlement TFEU

Investment Management Update

Following two recent cases involving investment advisers and social media, the SEC recently issued guidance regarding whether the publication of comments about investment advisers on social media sites would violate those...more

4/29/2014 - Fraud Investment Adviser Investment Advisers Act of 1940 SEC

Final Regulations Address Privacy and Security of Health Information

The U.S. Department of Health and Human Services (HHS) issued final regulations last week that modify many aspects of the privacy and security rules under the Health Insurance Portability and Accountability Act (HIPAA) and...more

1/25/2013 - Business Associates Data Breach Data Protection Enforcement Fundraisers GINA HIPAA HITECH Marketing Notice Requirements Penalties PHI

3 Results
|
View per page
Page: of 1