Sep 19, 2017
Louis Navellier ready to present 'extremely strong defense' to daunting SEC fraud charges
The Florida-based mutual fund owner says he advertised using GIPS-compliant material such that: 'I didn't sell this at all'
Tag
SEC
174 articles
Articles tagged "SEC"
Page 2 of 12Aug 28, 2017
After home raid allegedly turns up wild evidence, the SEC goes after Dawn Bennett for civil fraud
A $20 million Ponzi-like scheme and attempted voodoo are the latest revelations out of the Securities and Exchange Commission
Nov 15, 2016
The odd and open courtship between the SEC and robo-advisors plays out again -- this time at an SEC-hosted webcast panel in Washington, D.C.
Mary Jo White introduced a forum with representatives from FutureAdvisor, Betterment and Personal Capital who mostly just nodded in assent at each other
Sep 16, 2016
The sorry truth about the SEC's plan to crack down on bad stockbrokers by putting RIAs in a vise
The move is a clear diversionary tactic on the SEC's part to avoid flexing its muscles and withhold licenses
Aug 1, 2016
In exclusive RIABiz interview, Dawn Bennett tells how she's striking back at SEC after a $4-million legal drubbing has left her 30-year career in shambles
The advisor and popular radio host has hired the 'London Whale' attorney to prove she and her firm were victims of a regulatory witch hunt
Jul 20, 2016
How the SEC is poised to hand RIAs the keys to the $1.3 trillion private placement market -- largely at the expense of stockbrokers
Dodd-Frank kicked off a series of events that demanded a more rational way to define the sophistication of investors and who is best able to judge investments that don't have prospectuses
Apr 26, 2016
Why crowdfunding is madness, but maybe not with an RIA at the helm
With its holier-than-thou pitches and self-dealing syndication fees, crowdfunding is really only good if you're the crowdseeker
Mar 14, 2016
SEC launches elite unit with unspoken promise of technological parity with Wall Street
Classic RIAs should expect little change but the SEC's ability to algorithmically raise more red flags may give it better ways to go after big dogs
Mar 11, 2016
Aequitas duped 1,500 investors in 'Ponzi-like' scheme as it jetted and golfed its way to insolvency, says SEC complaint
The big picture includes blind faith in supposed guarantees on student loan debt that kept the cash flowing into a black hole
Feb 8, 2016
With Veo Village hive buzzing in background, Tom Nally rides herd on RIA 'Wild West' threats at vibrant LINC 2016
The laptop guys in another room won plaudits as the TD RIA custody chief counseled RIAs to embrace more practice audits and communicate more by story, less by Orwell
Nov 24, 2015
SEC leaves little doubt that Virtus knew to be suspicious of what it was selling yet kept those concerns from wholesalers
After concerns were raised Virtus grabbed for earplugs -- a move that made economic sense in retrospect
Nov 13, 2015
The SEC democratizes crowdfunding but RIAs need to guard against clients getting seated at an expanded kids' table
There will be 233 million potential new private equity investors trying to overcome one 'adverse selection' bottleneck
Sep 18, 2015
Why legal experts expect radio personality and registered rep Dawn Bennett to be barred from the industry for what started as an exaggeration of AUM
In the great tradition of legal quagmires, the cover-up seems as much the issue as the original broadcasted misdeed
May 21, 2015
Virtus bites bullets with F-Squared firing, Dorsey Wright hiring and an admission that it'll likely pay a $5-million-plus SEC settlement
The Hartford fund company set aside $5.2 million, warned it may need more and is replacing interstellar algorithms with a Virginian's figurings
Mar 24, 2015
In reply to SEC, Howard Present blames bad advice for any alleged wrongdoing
The F-Squared founder cries foul for what the SEC calls fraud