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Investment Adviser › Disciplinary Proceedings

UB Greensfelder LLP

Time Never Matters To Regulators, Until It Does

UB Greensfelder LLP on

As the song goes, time keeps on slipping, slipping, slipping into the future. While Steve Miller may not have had FINRA and the SEC in mind when he wrote that lyric, the shoe certainly fits. Because here’s the thing about...more

Fox Rothschild LLP

Do you really want to hire that broker with a checkered past

Fox Rothschild LLP on

That is the question that the SEC has essentially posed for registered investment advisers in a National Exam Program Risk Alert. In doing so, the SEC has stated that it will be “examining compliance oversight and controls of...more

Katten Muchin Rosenman LLP

Bridging the Week - July 2016

Katten Muchin Rosenman LLP on

Government Seeks Maximum Sentence in Coscia Criminal Action: The United States Attorney’s Office in Chicago requested last week that the judge presiding over the criminal trial of Michel Coscia impose the maximum sentence...more

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