Grace Signorelli-Cassady

Grace Signorelli-Cassady

Jenner & Block

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Client Alert: Court Adopts SEC's New Unregistered Dealer Theory, Creates Risk of Disgorgement and Penalties for Anyone Trading...

A broad array of financial market participants—mutual funds, private funds, insurers, pension funds, family offices, individuals, and more—may be at risk after the Securities and Exchange Commission (SEC) secured summary...more

7/19/2023  /  Broker-Dealer , Civil Monetary Penalty , Disgorgement , Enforcement Actions , Financial Markets , Investment Adviser , Registration Requirement , Securities and Exchange Commission (SEC) , Securities Litigation , Unregistered Brokers
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