David Smyth

David Smyth

Brooks Pierce

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Latest Posts › Registration


Caution: Aggressive Interpretation of Broker-Dealer Registration Provisions Could Be Hazardous to Your Ability to Stay out of...

Let’s do some compare and contrast, starting with a fairly unremarkable case the SEC filed in the Northern District of Texas on November 20th. In that action, the Commission sued the father-son duo of Paul and Jeffrey Downey...more

12/2/2014 - Broker-Dealer Mineral Leases Oil & Gas Registration SEC Securities Fraud

SEC Ramps Up Its Private Equity Parade

Bruce Karpati, chief of the SEC’s Asset Management Unit, promised us several weeks ago that enforcement actions against private equity firms were about to heat up. He wasn’t kidding. Last Monday, the SEC filed two sets of...more

3/21/2013 - Broker-Dealer General Solicitation Private Equity Ranieri Partners Registration SEC

SEC Charges Indian Firms with Acting as Unregistered Broker-Dealers

On November 27th, the SEC charged four Indian financial services firms with acting as unregistered broker-dealers in the United States....more

1/8/2013 - Broker-Dealer Enforcement Enforcement Actions India Registration SEC

SEC’s Asset Management Unit Focuses on Compliance Failures, Vol. 2

As we discussed last month, the SEC’s Asset Management Unit has developed a likeness for not just big, headline-grabbing cases, but relatively small compliance-based cases that are designed to prevent minor problems from...more

12/19/2012 - Books & Records Compliance Investment Adviser Registration SEC

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