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Results: 1-10 of 244

Texas investment adviser charged for operating a Ponzi scheme

  • Sutherland Asbill & Brennan LLP
  • -
  • USA
  • -
  • September 4 2009

The SEC filed an emergency civil injunctive action against Thomas Lester Irby II, Titan Wealth Management, LLC, and Point West Partners, LLC, for their roles in defrauding more than 30 advisory clients by selling fictitious interests in what Irby claimed were European Mid-Term Notes (MTNs

Proposed plan for the allocation of regulatory responsibilities declared effective

  • Sutherland Asbill & Brennan LLP
  • -
  • USA
  • -
  • September 4 2009

The SEC declared effective a proposed plan for allocation of regulatory responsibilities pursuant to Rule 17d-2 under the Securities Exchange Act of 1934

SEC issues release proposing “pay to play” rules

  • Sutherland Asbill & Brennan LLP
  • -
  • USA
  • -
  • September 4 2009

The SEC issued its release proposing “pay to play” rules

SEC issues post-Madoff reforms notice

  • Sutherland Asbill & Brennan LLP
  • -
  • USA
  • -
  • September 4 2009

The SEC has posted a special notice on post-Madoff reforms

Industry groups urge SEC committee not to define fiduciary duty

  • Sutherland Asbill & Brennan LLP
  • -
  • USA
  • -
  • September 4 2009

The Investment Adviser Association, Certified Financial Planner Board of Standards, Inc., Financial Planning Association, and National Association of Personal Financial Advisors collectively sent a letter to the SEC’s Investor Advisory Committee, urging the Committee not to define fiduciary duty

SEC issues no-action letter allowing foreign fund to exceed 12(d)(1) limits

  • Sutherland Asbill & Brennan LLP
  • -
  • USA
  • -
  • September 4 2009

The SEC issued a no-action letter addressing investments by foreign funds into U.S. mutual funds

FINRA and SEC post joint investor alert regarding leveraged and inverse ETFs

  • Sutherland Asbill & Brennan LLP
  • -
  • USA
  • -
  • September 4 2009

The SEC and FINRA jointly posted an investor alert on leveraged and inverse exchange-traded funds (ETFs

SEC settlement trends report released by NERA

  • Sutherland Asbill & Brennan LLP
  • -
  • USA
  • -
  • September 4 2009

NERA Economic Consulting released its report titled “SEC Settlement Trends: 2009 Update” stating that the number of SEC settlements for the first six months of 2009 is slightly higher than for the same period of 2008, with 335 defendants in 2009 versus 330 in the first half of 2008

West Virginia-based investment adviser barred

  • Sutherland Asbill & Brennan LLP
  • -
  • USA
  • -
  • September 4 2009

The SEC barred Knox H. Fuqua from association with any investment adviser based upon a District Court’s order enjoining him from violating the antifraud and other provisions of the federal securities laws

SEC Chairman names Eric Spitler Counselor to the Chairman and Director of the Office of Legislative and Intergovernmental Affairs

  • Sutherland Asbill & Brennan LLP
  • -
  • USA
  • -
  • September 4 2009

SEC Chairman Mary Schapiro announced that Eric J. Spitler has been named Counselor to the Chairman and Director of the Office of Legislative and Intergovernmental Affairs at the SEC

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