Articles tagged "SEC"
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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
September 16, 2016 at 5:06 PM
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
August 1, 2016 at 4:52 PM
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
July 20, 2016 at 9:54 PM
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
April 26, 2016 at 5:38 PM
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
March 14, 2016 at 11:17 PM
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
March 11, 2016 at 10:06 PM
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
February 8, 2016 at 7:07 PM
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
November 24, 2015 at 7:08 PM
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
November 13, 2015 at 9:21 PM
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
September 18, 2015 at 7:55 PM
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
May 21, 2015 at 6:13 PM
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
March 24, 2015 at 10:49 PM
Where Virtus stands after F-Squared seemingly led it astray, to mutual benefit
The Hartford, Conn. firm is raising no alarms with investors but a handful of Virtus ex-employees are expressing confusion about how it all went down
February 9, 2015 at 8:58 PM
How the alternative investments category got bastardized and why that's a shame
A decade on, the investment industry is fast destroying a promising asset class
January 27, 2015 at 6:19 PM
How Howard Present parlayed an intern's algorithm into a small fortune -- and when the SEC says he knew of a mega-disconnect
The SEC alleges that the former F-Squared CEO engaged in a massive cover-up with lies, and the fabrication related to faulty backtesting
