According to the commission, James David Burleson’s scheme caused over $3 million in losses for his clients and a 26.5% positive return for himself. The SEC argues the probability that divergence occurred by chance was “less than one in a million.”
Brookfield’s David Levi details how different types of investors use alternative investments.
The Financial Industry Regulatory Authority must let the US Securities and Exchange Commission weigh in before it can cast out one of its members, a three-judge panel of the US Court of Appeals for the District of Columbia found.
AI Risk’s Alec Crawford details how to solve security and compliance issues posed by artificial intelligence.
Gensler’s term was set to expire in 2026, but he announced today that he will leave on Jan. 20, 2025. He called working with the commission’s staff “an honor of a lifetime.”
Kenneth Welsh pleaded to five wire fraud counts that carry a maximum penalty of 20 years in prison each.
Jason and Louis Diamond explore strategies for maximizing enterprise value, whether or not an advisor plans to move.
New tools automate the process of personalizing service and communications to improve the advisor-client relationship.
