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Broker-Dealer › Cease and Desist Orders › Conflicts of Interest

Bradley Arant Boult Cummings LLP

SEC Targets Broker-Dealers for Reg BI Violations

Bradley Arant Boult Cummings LLP on

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

Seward & Kissel LLP

SEC Settles Charges Against Investment Advisers for Alleged Breaches of Fiduciary Duties

Seward & Kissel LLP on

Who may be interested: Registered Investment Advisers, Mutual Funds, Compliance Officers - Quick Take: The SEC settled charges against two affiliated registered investment advisers, alleging that the advisers failed to...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Well here is where an advisory firm gets in trouble

Ary Rosenbaum - The Rosenbaum Law Firm P.C. on

A good chunk of my work as an ERISA attorney is working with financial advisory firms in managing their retirement plan practice especially with 401(k) plans. I have many registered investment advisory clients around the...more

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