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Pinnacle Advisors, LLC, Robert F Cuculich, Benjamin Quilty, Mark E Wadach and Lawton A Williamson (Release No LR-25715; May 9, 2023)

Pinnacle Advisors, LLC, Robert F Cuculich, Benjamin Quilty, Mark E Wadach and Lawton A Williamson (Release No LR-25715; May 9, 2023)
sec.gov - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from sec.gov Daily Mail and Mail on Sunday newspapers.

New yorkUnited statesHanel kimLawton charlie williamsonAnna shmidtRachel laveryAndrew sporkinTodd brodyAlex leffertsLisa knoopDani srourGwen licardoJennifer kleinShari singhMark wadachRobert cuculich

SEC Charges Investment Adviser and Fund Trustees with Liquidity Rule Violations

SEC Charges Investment Adviser and Fund Trustees with Liquidity Rule Violations
streetinsider.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from streetinsider.com Daily Mail and Mail on Sunday newspapers.

New yorkUnited statesMark wadachJennifer kleinShari singhAnna shmidtAlex leffertsTodd brodyHanel kimLawton charlie williamsonRachel laveryLisa knoopJoseph masellaAndrew sporkinDani srourGwen licardo

SEC gov | SEC Charges Investment Adviser and Fund Trustees with Liquidity Rule Violations

SEC gov | SEC Charges Investment Adviser and Fund Trustees with Liquidity Rule Violations
sec.gov - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from sec.gov Daily Mail and Mail on Sunday newspapers.

New yorkUnited statesAndrew sporkinLawton charlie williamsonJennifer kleinHanel kimShari singhRobert cuculichLisa knoopMark wadachDani srourAnna shmidtAlex leffertsTodd brodyJoseph masellaGwen licardo

SEC Charges Robo-Adviser With Misleading Clients

The Securities and Exchange Commission today charged New York-based robo-adviser Wahed Invest, LLC with making misleading statements and breaching its fiduciary duty, and for compliance failures related to its Shari’ah advisory business.

New yorkUnited statesAdams adertonJennifer kleinRachel laveryAlessandra hagemannDan pinesMichael artusExchange commissionYork regional officeEnforcement division asset management unitWahed investNew york basedAsset managementInvestment advisers actAndrew dean

SEC Charges Shari ah-Focused Online Investment Service With Misleading Clients

The Securities and Exchange Commission today charged New York-based robo-adviser Wahed Invest, LLC with making misleading statements and breaching its fiduciary duty, and for compliance failures related to its Shari’ah advisory business.

New yorkUnited statesAdams adertonJennifer kleinRachel laveryAlessandra hagemannDan pinesMichael artusExchange commissionYork regional officeEnforcement division asset management unitWahed investNew york basedAsset managementInvestment advisers actAndrew dean