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Advisor Group's Triad Advisors settles FINRA case for $705K

The midsize wealth manager racked up millions of dollars in sales of an alternative product without adequate due diligence, according to FINRA. ....

United Kingdom , United States , Anthony Caine , Anish Parvataneni , Howard Rosenfield , Alan Rosca , Commodity Futures Trading Commission , Cambridge Investment Research , Advisor Group , Preservation Growth Fund , Advisor Group Triad Advisors , Triad Advisors , Growth Fund , Atlanta Based Triad , Goldman Scarlato , Regulation And Compliance ,

Investment Management Update - December 2021 | Skadden, Arps, Slate, Meagher & Flom LLP

In this issue, we cover regulatory developments impacting the investment management sector, including proposed legislation supported by the Investment Company Institute to address. ....

United States , Anthony Caine , Elad Roisman , Anish Parvataneni , Hester Peirce , Gary Gensler , Christine Arguello , Jay Clayton , Fee Initiative , End Fund Protections , Division Of Examinations , Us Court , Investment Company , Us District Court , Fees Initiative Scope , Office Of Information , Chicago Mercantile Exchange , Capital Management , Discusses Cryptocurrencies At Aspen Security Forum , Aspen Security Forum , Partners Ltd , Regulatory Affairs , Meagher Flom , Us Treasury Department , Exchange Commission , Observations From Examinations In Registered Investment Company ,

For FINRA, Unlike The SEC, Blaming The BD Always Seems To Be The Answer | Ulmer & Berne LLP

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FINRA Enforcement has often been accused (again, admittedly, by me, and not too infrequently) of going after the “low-hanging fruit,” that is, taking the easy case when it presents itself. Putting aside the question whether this observation is accurate or not – for what it’s worth, I think the answer is that it is often, but not always, true – a recent case triggers a better, more nuanced question: does FINRA Enforcement sometimes bring the
wrong case, because it is easier?
Here is what made me think of this: a series of cases concerning a mutual fund called the LJM Preservation & Growth Fund (the “LJM Fund”). You probably recall hearing about it. The LJM Fund was a so-called “alternative” mutual fund. Here is how FINRA defines that: ....

Anthony Caine , Anish Parvataneni , Preservation Growth Fund , Partners Ltd , Funds Management Ltd , Growth Fund , அந்தோணி கெய்ன் , ப்ரிஸர்வேஶந் வளர்ச்சி நிதி , கூட்டாளர்கள் லிமிடெட் , நிதி மேலாண்மை லிமிடெட் , வளர்ச்சி நிதி ,

Risky Business Leads to $1 Billion Trading Loss, Charges for Fund Execs

SEC alleges portfolio managers misled investors about risk management practices. ....

Anthony Caine , Anish Parvataneni , Daniel Michael , Enforcement Division Complex Financial Instruments Unit , Preservation Growth Fund , Growth Fund , Risk Officer Arjuna , Complex Financial Instruments Unit , அந்தோணி கெய்ன் , டேனியல் மைக்கேல் , அமலாக்கம் பிரிவு சிக்கலான நிதி கருவிகள் அலகு , ப்ரிஸர்வேஶந் வளர்ச்சி நிதி , வளர்ச்சி நிதி , சிக்கலான நிதி கருவிகள் அலகு ,

SEC: Portfolio Managers Misled Investors Over Funds' Risks

The SEC charged LJM Funds Management and executives with misleading investors on the funds' risks; they later suffered a $1 billion loss. ....

United Kingdom , United States , Anthony Caine , Anish Parvataneni , Cambridge Investment Research , Commodities Future Trading Commission , Arjuna Ariathurai , Securities America , ஒன்றுபட்டது கிஂக்டம் , ஒன்றுபட்டது மாநிலங்களில் , அந்தோணி கெய்ன் , கேம்பிரிட்ஜ் முதலீடு ஆராய்ச்சி , பொருட்கள் எதிர்கால வர்த்தக தரகு , பத்திரங்கள் அமெரிக்கா ,