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Results: 1-10 of 201

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 obtains consent judgments against Frank J. Russo and FJR corporation
  • Sutherland Asbill & Brennan LLP
  • USA
  • January 8 2010

The Federal Court for the District of Massachusetts entered consent judgments in a previously filed enforcement action against Frank J. Russo, a Massachusetts-based former investment adviser, and his investment advisory corporation, FJR Corporation


Defazio introduces the Let Wall Street Pay for the Restoration of Main Street Act
  • Sutherland Asbill & Brennan LLP
  • USA
  • January 8 2010

U.S. Representative Peter DeFazio (D-OR), Chairman of the House Subcommittee on Highways and Transit, was joined by 22 of his House colleagues in introducing new legislation that assesses a minuscule tax on Wall Street securities transactions


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


House approves the Wall Street Reform and Consumer Protection Act of 2009
  • Sutherland Asbill & Brennan LLP
  • USA
  • January 8 2010

The House of Representatives approved the Wall Street Reform and Consumer Protection Act of 2009, H.R. 4173, which will purportedly overhaul regulation of the financial services sector with tough new controls and create a new agency to protect consumers