See why ACA Insight is the leading newsletter on regulatory compliance. Sign up for a free 1-week trial.

The weekly news source for investment management legal and compliance professionals

News January 30, 2017 Issue

Advisory Firm Owner and Lawyer Settle with SEC After Deception Allegations

The founder and former majority owner of an investment advisory firm and an attorney he worked with found themselves on the wrong side of an SEC enforcement action this month involving allegations of secret referral fees, attempts to mislead SEC investigators and deceiving clients on whether an investigation was even underway.

Full contents of this article are only available to paid subscribers.

Subscribe to ACA Insight

Subscribe to ACA Insight for just $1,195! Subscribers receive: 46 electronic issues conveniently e-mailed to your desktops each Friday; access to archives of past stories; and breaking news e-mails.

Subscribe today to the weekly news source for investment management and legal compliance professionals.

Subscriber Log In

Forgot your password? Click Here.