News & Analysis as of

Fee-Splitting Enforcement Actions

Procopio, Cory, Hargreaves & Savitch LLP

Charter School Bonds Under Scrutiny

SEC to Charter Schools: Avoid these risks when you engage your financing team - If you’ve financed a school facility – or you’re thinking about it – the SEC is watching (out for) you and the financing team you hire. They’ve...more

Mintz - Health Care Viewpoints

New York Medical Society Warns Providers to Avoid Percentage-Based Billing

A series of recoupment letters from the New York State Medicaid Fraud Control Unit (MFCU) to healthcare providers who have management or billing company arrangements based on a percentage of collections has prompted the...more

Dorsey & Whitney LLP

Three Principals of Adviser Settle SEC Charges Over Undisclosed Conflicts

Dorsey & Whitney LLP on

The Commission filed another settled action based on undisclosed conflicts involving an investment adviser. In this proceeding Respondents, principals of the adviser, failed to disclose a fee splitting arrangement with an...more

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