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The agency views the capital providers as a governance risk, and it says there are industrywide social concerns about enforcement cases and cybersecurity.
June 29
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The principals at Legend Venture Partners stand accused of making millions by offering shares in pre-IPO companies without disclosing markups to investors.
June 29
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Among the respondents who work with financial planners, about 7 out of 10 said they have high hopes for 2023. For those without planners, the figure fell to 42%.
June 28
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The Investment Adviser Association contends federal regulators have not taken into account the likely onerous cumulative effects of their proposals on cybersecurity, outsourcing and data security.
June 22
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Despite macroeconomic challenges and a decade of record deal volumes, Cerulli Associates says the channel remains ripe for further investments.
June 22
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The SEC accused the famed investment management firm of providing a faulty formula to a subadministrator responsible for calculating its fee waivers.
June 21
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The former advisor faces as many as 10 years in prison for stealing roughly $1.7 million from relatives' brokerage accounts to pay for trips, cruises and other personal expenses.
June 8
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Dennis B. Levine, a central player in the 1980's most notorious insider trading scheme, benefits from the regulator's fix, but so will some everyday financial planners.
June 7 -
CEO Peter Mallouk says more growth is on the way for his firm after the private equity-backed company unveiled its second billion-dollar deal of the year.
June 5
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The SEC case is the latest to highlight the risks investors run when they get involved with "blank check" companies.
June 2
