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News + Insights - sec fine

Monday, January 10 2022

Don’t Text and Trade

On December 17, 2021, the SEC and the Commodity Futures Trading Commission fined J.P. Morgan a combined $200 million for failure to properly capture their communications. What Happened? Between January... [...]
Wednesday, September 23 2020

Double Dipping

On September 10, 2020, the SEC issued an order instituting administrative proceedings and cease-and-desist proceedings against Graham, Bordelon, Golson & Gilbert, Inc. (GBGG), along with a civil penalty of $176,399.21,... [...]
Monday, June 15 2020

Charging Performance Fees While Remaining Compliant

For most financial advisers, staying compliant means applying extreme diligence across a variety of areas as you keep tabs on a host of regulatory requirements. From advertising compliance to creating... [...]