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Category Archives: Trade Allocation

SEC Revokes Investment Adviser’s Registration Due to Improper Trade Allocations

The U.S. Securities and Exchange Commission (“SEC”) recently revoked the registration of an investment adviser located in Delray Beach, Florida as a result of improper allocation of trades. In April 2005, the SEC filed a civil injunction action against the Delray Beach based investment adviser alleging the firm violated the anti-fraud provision of the Investment [...]

 
Posted by Bryan Hill
Wednesday, June 25, 2008
Labels: Trade Allocation

 
  

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* RIA Compliance Consultants, Inc. ("RCC") is not a law firm and does not provide legal services. A compliance consulting relationship with RCC is not provided those legal and professional protections that normally exist under an attorney-client relationship. For more information, please visit our Disclosures webpage.

The determination to use a third-party compliance services provider is an important decision and should not be based solely upon advertisements or self-proclaimed expertise. A description or indication of limitation of our compliance services does not mean that an agency or board has certified RCC as a specialist or expert in investment advisor compliance. All potential clients are urged to make their own independent investigation and evaluation of RCC.

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