Conflicts of Interest

The SEC alleges material misstatements were made to hedge fund investors

Lapse in forming an Investor Advisory Committee an issue

HSBC Securities provided false and misleading disclosures to clients about its IARs’ conflicts because it stated that IARs did not receive compensation based on advisory ...

Failed to adequately disclose how their clients' investments were tied to the Aequitas enterprise

Documents supporting RAUM figure found to be misleading

The revised ADV Brochure made no reference to the agreements or payments and did not explain the resulting conflicts of interest

Activist investor Jeffrey Eberwein has gotten himself back into hot water with the SEC, this time for failing to disclose conflicts of interests as he ...

The firm's CCO learned of the RAUM figure in the Form ADV after it was filed, and made several requests to identify the basis for ...

A New York Supreme Court justice has ordered the assets of a private fund and related broker-dealer frozen, after evidence revealed “a shocking level of ...

Laws and others fraudulently induced federal employees to rollover significant funds from their federal retirement accounts into annuities