Kevin Woodard

Kevin Woodard

Dinsmore & Shohl LLP

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SEC Enforcement Action Related to Account Type Conversions

On February 14, 2025, the Securities and Exchange Commission (“SEC”) published a settled Administrative Proceeding Order with One Oak Capital Management, LLC (“One Oak”) and Michael DeRosa. DeRosa served as an investment...more

2/21/2025  /  Disclosure Requirements , Enforcement Actions , Fiduciary Duty , Fraud , Investment Adviser , Investment Advisers Act of 1940 , Securities and Exchange Commission (SEC) , Securities Violations
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