Seward & Kissel LLP


40 Act Blog - 5 new articles


Dually Registered Adviser Found to Have Ignored Red Flags of Illicit Insider Trading

The SEC brought an enforcement action against Wells Fargo Advisors, LLC, a dually registered investment adviser and broker-dealer, for failing to...

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Adviser Charged with Engaging in Prohibited Principal Trades through Its Affiliated Broker-Dealer with Clients

The SEC brought an enforcement action against Strategic Capital Group, LLC (SCG), an investment adviser based in Gig Harbor, Washington, for engaging...

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SEC Brings Form 4 Enforcement Action

The SEC brought an administrative action against Salim Ghauri, a director and officer of NetSol Technologies, Inc. (NetSol), for violations of the...

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Officer Fined $60,000 for Failing to File Amended 13G Reports and Form 4s

The SEC brought an enforcement action against Raul S. McQuivey,an officer and director of Sutron Corporation (Sutron) and as a greater than 10%...

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NASAA Releases a Study on How Mid-Sized Advisers Have Addressed Cybersecurity Risks

The North American Securities Administrators Association (NASAA) released results of a survey conducted in July 2014 addressing the cybersecurity...

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