Posts from 2015.

With barely over a week left on Commissioner Luis A. Aguilar's tenure with the Securities and Exchange Commission ("SEC"), he summarized the changes he witnessed in the SEC during his seven years serving as Commissioner in his public statement...

The SEC’s challenges in implementing their own cybersecurity protocols could be similar to your firm. On December 16th, Commissioner Luis A. Aguilar of the Securities and Exchange Commission (“Commission”) released a public statement titled “Being a Responsible Steward: Ensuring...

Considerations that Businesses Should Keep in Mind Prior to Implementing a Transition and Business Succession Plan...

Five Broker-Dealers Ordered to Pay $18 Million in Restitution for Failing to Wave Class A Mutual Fund Share Charges...

The Securities and Exchange Commission (“SEC”) paid out an award totaling more than $325,000 to a former employee of an investment firm for supplying them with information regarding fraudulent activities at his former firm including specific information regarding the individuals...

Family Endowment Partners, L.P. (“FEP”), a Massachusetts registered investment adviser,  and its owner Lee Dana Weiss (“Weiss”) have been accused of violating the antifraud provisions of the federal securities law and related Securities and Exchange Commission (“SEC”) antifraud rules. Furthermore,...

Succession planning, particularly related to retirement planning, transitioning to a new business model, or merging with a new team, can be complicated. JLG has created the following checklist to assist you  navigate through various considerations. ...

According to the North American Securities Administrators Association (“NASAA”) 2015 Enforcement Report on 2014 Data (the “Report”), state securities regulators conducted 4,853 investigations in 2014 resulting in $405 million in restitution, $174 million in fines and 1,629 years in prison...

According to a Securities and Exchange Commission (“SEC”) complaint filed in Riverside County, California, Paul Ricky Mata (“Mata”), David Kayatta (“Kayatta”) and Mario Pincheira (“Pincheira”) are accused of violating the antifraud provisions of Section 17(a) of the Securities Act of...

Over the past few years, more and more firms are diversifying services and products. In an effort to support this business development and attract new talent, broker-dealers (“BDs”) are permitting associated persons to affiliate with independent, non-affiliated investment advisory firms...

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