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Red Oak Blog

News that affects your business and ours.
 
July 21 2017
Wrap Fee Programs In my seventeen years’ experience in the field of financial services compliance, the one thing that still manages to surprise me is when I mention the term wrap fee program to an individual [...] Read more
Compliance Solutions to Address Cybercrimes Phishing expeditions in which hackers trick people to reveal confidential information or cause them to introduce a virus onto their computer, are on the rise. As a result, firms should develop and maintain [...] Read more
July 8 2017
Investment Advisory Firm Penalized for Stealing from Clients and Lying to SEC Regulators Timothy F. Sexton is the founder, CEO, and investment adviser representative of Bantry Bay Capital, LLC. The SEC fined the firm and Sexton $100,000 and barred him from associating with any broker, dealer, [...] Read more
How SEC and FINRA Exams Could Change Under the New Administration Tobias Salinger of Financial Planning reports that compliance experts are saying, “President Trump’s anti-regulation agenda will yield fewer but more focused SEC and FINRA examinations.” Even so, the SEC recently submitted its budget [...] Read more
June 30 2017
Supreme Court Decision in Kokesh v. SEC Sends Shockwaves Throughout Federal Securities Law Enforcement Community On June 5, 2017 the United States Supreme Court held that a 5-year statute of limitations established under federal law applies “to claims for disgorgement imposed as a sanction for violating a federal [...] Read more