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Our Take Blog
February 22, 2010
FINRA Wants to Expand BrokerCheck to Include All Customer Complaints
FINRA has announced that it will seek to expand the information available through BrokerCheck to include…
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February 15, 2010
Private Placement Investors to Pay $900,000 for Mis-Reps Made in Subscription Docs
Two investors in several private placements agreed to pay over $900,000 in disgorgement, penalties, and interest…
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February 10, 2010
SEC Bars Poor-Performing Options Trader for Claiming Competence
The SEC barred an options trader from the industry for making false claims about his abilities…
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February 9, 2010
SEC Sues “Absolute Return” Manager for Volatile, Undisclosed Trading Strategies
The SEC has filed an enforcement action against a hedge fund sponsor for trading in volatile…
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February 8, 2010
Schapiro Wants Point-of-Sale Disclosure
In a recent speech, SEC Chairman Mary Schapiro called for new point of sale disclosure comparing…
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