Sydney Faehling

K&L Gates LLP

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“Oops, I was a Broker!?” SEC Cracks Down on Investment Adviser Representatives Acting as Unregistered Brokers

On 14 January 2025, the Securities and Exchange Commission (SEC) announced settled charges against three investment adviser representatives for acting as unregistered brokers in the sale of membership interests in certain...more

1/20/2025  /  Conflicts of Interest , Enforcement Actions , Investment Adviser , Investment Funds , Limited Liability Company (LLC) , Securities and Exchange Commission (SEC) , Securities Fraud , Securities Regulation , Securities Violations , Unregistered Securities
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