Insights
January 29, 2016
A Department of Labor rule that would raise investment advice standards for retirement accounts reached one step closer to being finalized last night. The DOL sent the measure to the Office of Managem...
January 28, 2016
Barry Carlton Taylor, operator of two companies in Franklin, North Carolina, pleaded guilty earlier this week to fraud by commodities pool operator and concealment of money laundering charges, after d...
January 27, 2016
Investors in energy-focused master limited partnerships could be understood crying for mercy. The sector rebounded late last week, but the midstream benchmark Alerian MLP index is still down a brutal ...
January 26, 2016
Declining oil prices have victimized two leveraged exchange traded notes (“ETNs”) tracking master limited partnerships (“MLPs”). UBS Investment Bank announced the closing of ET...
January 25, 2016
Robert Scott Wiens of Lakewood, Colorado, a director a futures trading firm RXM Holdings Ltd., was sentenced last week to a year in prison and paid more than a quarter-million in restitution for secur...
January 25, 2016
Master limited partnerships (“MLPs”) are complex investment vehicles that have become massively popular in the past few years during the low interest rate environment. A MLP is a publ...
January 22, 2016
The following is a list compiled by the North American Securities Administrators Association of the top financial products and practices that threaten to trap unwary investors and small business owner...
January 21, 2016
The Department of Labor is ready to advance as soon as the end of the month a final rule that would raise investment advice standards for retirement accounts. The department is trying to get the rule ...
January 15, 2016
The SEC has barred from the securities industry Aubrey Lee Price, an imprisoned former Georgia investment adviser who pleaded guilty in 2014 to a massive fraud that helped bring down his troubled bank...
January 14, 2016
The SEC charged Edward Durante, a recidivist securities law violator, with operating a multi-year offering fraud that targeted investors in New England, Ohio, and California. The SEC’s complaint alleg...
January 13, 2016
Last year, the SEC charged a Texas attorney with defrauding investors with regard to two securities offerings, one pertaining to an oil and gas exploration venture and the other a fracking water filtr...
January 12, 2016
The SEC issued a report evaluating the definition of “accredited investor” as part of its obligations under the Dodd-Frank Act. Perhaps most significantly, the report recommends modificati...
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