On August 11, 2025, the U.S. Securities and Exchange Commission (SEC) brought two settled administrative proceedings against a broker-dealer and one of its registered representatives for violations of Regulation Best Interest...more
8/21/2025
/ Broker-Dealer ,
Cease and Desist Orders ,
Compliance ,
Conflicts of Interest ,
Enforcement Actions ,
Fiduciary Duty ,
Investors ,
Penalties ,
Policies and Procedures ,
Regulation Best Interest ,
Regulatory Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Regulation
In May 2025, we summarized the U.S. Securities and Exchange Commission’s (SEC) Division of Enforcement activity during the first quarter of the new presidential administration. With the second quarter now concluded, and Paul...more
7/15/2025
/ Administrative Proceedings ,
Broker-Dealer ,
Corporate Counsel ,
Enforcement Actions ,
Financial Markets ,
Fraud ,
Insider Trading ,
Investment Adviser ,
Regulatory Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Fraud