- Posts by Conor M. Dale, Esq.Attorney
A passionate securities and corporate law attorney, Conor M. Dale supports, guides and offers practical solutions for our clients. With an eye for risk mitigation, Mr. Dale achieves results for financial industry firms by offering ...
On May 12, 2020, the Securities and Exchange Commission (“SEC”) announced that Morgan Stanley Smith Barney (“MSSB”) agreed to settle charges that it provided misleading information regarding transaction costs and services to retail clients in its wrap program for the period from 2012 to 2017.
On April 28, 2020, the Securities and Exchange Commission (“SEC”) announced an award of $18 million dollars to a whistleblower for providing the SEC with crucial information that was used as part of an enforcement action against a firm found to be in violation of federal securities laws.
The Securities and Exchange Commission (SEC) recently upgraded its Public Alert: Unregistered Soliciting Entities (PAUSE) website adding 25 soliciting entities and four false regulators and enhancing its accessibility for Main Street investors.
The Financial Industry Regulatory Authority (FINRA) is a government-authorized not-for-profit organization that oversees U.S. broker-dealers to ensure that everyone can participate in the market with confidence. Every year, FINRA publishes its areas of focus for the ongoing execution of its mission to protect investors and market integrity.
Blockchain of Things (“BCOT”), a technology company, has agreed to settle charges with the Securities and Exchange Commission (“SEC”) for conducting an initial coin offering (ICO) without registering it as a securities offering or qualifying for any registration exemptions. The settlement requires BCOT to agree to a cease and desist order, pay a $250,000 civil fine, return funds to any investors who file a request, and register the tokens as securities.
- SEC Charges San Antonio CEO with Defrauding Investors Including First-Responders
- Considerations for Your Next Business Transition
- Three Things You Need to Know When Forming an RIA
- SEC Releases Proposed Changes to Form 13F Report Requirements
- SEC Releases Last-Minute Updates to Form CRS FAQs
- Top 3 Considerations During the Breakaway & Transition Process
- Succession Planning: Identifying a Successor
- California AG Submits Final CCPA Rules for Approval
- ICO To Return $25 Million to Investors
- SEC Charges Morgan Stanley Smith Barney with Providing Misleading Information to Retail Clients
- Securities and Exchange Commission (SEC)
- Investment Advisers
- Transition Services
- Due Diligence
- Aging Clients
- Policies and Procedures
- Virtual Currency
- Broker Protocol
- California Consumer Privacy Act (CCPA)
- Dodd-Frank Act
- Advisers Act
- Office of Compliance Inspections and Examinations (OCIE)
- Securities Law
- Ponzi Scheme
- Form U5
- Private Equity
- Private Funds
- Regulation Best Interest
- Hedge Funds
- Regulatory Examinations
- Personally Identifiable Information (PII)
- Government Shutdown
- Risk Alert
- Social Media Marketing
- Exchange-Traded Funds (ETFs)
- Investment Company Act
- Rule 6c
- Wells Fargo