Investment Services Regulatory Update June 2026

Samuel Alsip, Waylon Bryson, Devin Eager, Nicholas Portillo, Mark Quade, Nathaniel Segal, Jacob Tiedt, Jake Wiesen
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On March 23, 2026, the U.S. District Court for the District of Massachusetts issued a final judgment with respect to an enforcement action originally filed by the SEC in 2019 in which the SEC alleged that a dually registered investment adviser and broker-dealer (the adviser) failed to disclose...

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DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations. Attorney Advertising.

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