Securities

Recent Posts

SEC Proceedings Against Investment Advisers Center on Conflicts of Interest
Posted on 3 Sep 2014 by Doug Esten

Conflicts of interest are at the center of two administrative proceedings recently instituted by the SEC. One involved the failure to adequately disclose the conflict. The other focuses on a failure to institute appropriate supervisory procedures for... Read More

Jury Convicts Investment Adviser on Multiple Counts of Fraud
Posted on 30 Jul 2014 by Thomas O. Gorman

James Tagliaferri, the former President of TAG Virgin Islands, a registered investment adviser, was found guilty by a jury of one count of investment adviser fraud, six counts of violating the Travel Act, one count of securities fraud and four counts... Read More

SEC Proceedings Against Investment Advisers Center on Conflicts of Interest
Posted on 3 Sep 2014 by Thomas O. Gorman

Conflicts of interest are at the center of two administrative proceedings recently instituted by the SEC. One involved the failure to adequately disclose the conflict. The other focuses on a failure to institute appropriate supervisory procedures for... Read More