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Enforcement Actions › Securities Regulation › Fees

Bradley Arant Boult Cummings LLP

SEC Continues to Scrutinize Investment Adviser Fee Disclosures

Bradley Arant Boult Cummings LLP on

Although certain enforcement priorities of the U.S. Securities and Exchange Commission (SEC) have shifted under new Chairman Paul S. Atkins, the SEC continues to scrutinize investment advisers’ disclosures regarding the fees...more

Cozen O'Connor

Edward Jones Settles Multistate Investigation into Commissions and Supervisory Procedures

Cozen O'Connor on

New Jersey AG Matthew Platkin has settled with Edward D. Jones & Co., L.P., as part of a multistate investigation that included 14 states and the North American Securities Administrators Association, over allegations that the...more

Nelson Mullins Riley & Scarborough LLP

Clash of the Titans: SEC Sues Genesis and Gemini for Digital Asset Offerings

Nelson Mullins Riley & Scarborough LLP on

Like Zeus unleashing the Kraken in Clash of the Titans, the U.S. Securities and Exchange Commission (SEC) has unleashed the Kraken (not the digital asset company) to unleash havoc on Genesis Global Capital LLC (Genesis) and...more

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