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Results: 1-10 of 201

Victoria Investors’ sole general partner and IA barred from association
  • Sutherland Asbill & Brennan LLP
  • USA
  • January 8 2010

An Administrative Law Judge issued an Initial Decision against James C. Dawson, barring him from associating with any investment adviser


FINRA issues investor alert warning investors of green energy investments that promise large gains
  • Sutherland Asbill & Brennan LLP
  • USA
  • January 8 2010

The Financial Industry Regulatory Authority (FINRA) issued an Investor Alert warning investors to be wary of green energy investments that promise large gains from investing in companies purportedly involved in developing or producing alternative, renewable, or waste energy products


Massachusetts-based IA criminally charged for defrauding investors
  • Sutherland Asbill & Brennan LLP
  • USA
  • January 8 2010

The U.S. Attorney’s Office for the District of Massachusetts filed an Information against Stephen F. Clifford, a former investment adviser based in Plymouth, Massachusetts


SEC adopts, as final, Rule 206(3)-3T
  • Sutherland Asbill & Brennan LLP
  • USA
  • January 8 2010

The Securities and Exchange Commission (SEC) adopted, as final, Rule 206(3)-3T under the Investment Advisers Act of 1940 (Advisers Act), the interim final temporary rule that establishes an alternative means for investment advisers who are registered with the SEC as broker-dealers to meet the requirements of 206(3) of the Advisers Act when they act in a principal capacity in transactions with certain of their advisory clients


Director of SEC Division of Enforcement speaks before the U.S. Senate Committee on the Judiciary concerning mortgage fraud, securities fraud, and the financial meltdown: prosecuting those responsible
  • Sutherland Asbill & Brennan LLP
  • USA
  • January 8 2010

Robert Khuzami, Director of the Division of Enforcement, spoke before the U.S. Committee on the Judiciary, along with colleagues from the U.S. Department of Justice (DOJ) and the Federal Bureau of Investigation


SEC issues order against Moises Pacheco
  • Sutherland Asbill & Brennan LLP
  • USA
  • January 8 2010

The SEC issued an order against Moises Pacheco based on the entry of a permanent injunction against Pacheco in the civil action entitled SEC v. Pacheco


SEC settles case against Ohio investment adviser who allegedly defrauded elderly clients
  • Sutherland Asbill & Brennan LLP
  • USA
  • January 8 2010

The Securities and Exchange Commission (SEC) announced that investment adviser (IA) Julie M. Jarvis, of Columbus, Ohio, and her financial advisory firm, Crossroads Financial Planning, Inc., have agreed to settle the SEC’s pending civil action against them


House passes enhanced SEC Enforcement Authority Act
  • Sutherland Asbill & Brennan LLP
  • USA
  • January 8 2010

The U.S. House of Representatives approved the Enhanced SEC Enforcement Authority Act, H.R. 2873, a bill that would enhance the SEC’s enforcement authority by allowing the SEC to compel the attendance of a witness at a hearing or trial anywhere in the United States


SEC Chief Accountant speaks at 2009 AICPA National Conference
  • Sutherland Asbill & Brennan LLP
  • USA
  • January 8 2010

SEC Chief Accountant James L. Kroeker spoke at the American Institute of Certified Public Accountants (AICPA) National Conference


SEC publishes Select SEC and Market Data Fiscal 2009
  • Sutherland Asbill & Brennan LLP
  • USA
  • January 8 2010

The SEC posted a 27-page document titled Select SEC and Market Data Fiscal 2009, which covers the following topics