Parker MacIntyre
Legal Services Provided
Attorneys
Arbitration & Mediation, Broker Fraud and Securities
Administrative, Broker Fraud, Business and Employment
Administrative, Business and Securities
Arbitration & Mediation, Business and Securities
Arbitration & Mediation, Personal Injury and Securities
Administrative, Business and Securities
Business and Securities
Websites & Blogs
- FINRA Publishes Notice to Arbitrators and Parties Regarding Expungement Procedures
12 October 2017 - DOL Proposes Additional Extension of Fiduciary Rule Transition Period
12 September 2017 - SEC Settles Charges with Investment Adviser Over Insufficient Disclosure of Fees
6 September 2017 - SEC Charges Investment Adviser with Misappropriating $2.8 Million From her Clients
1 September 2017 - SEC Charges Investment Adviser With Defrauding Clients Regarding Advisory Fees
29 August 2017 - Court Orders Hedge Fund Advisers to Pay $12.9 Million in SEC Fraud Case
22 August 2017 - Recent DOL Action: Proposed Delay of Fiduciary Rule and New Transition Period Guidance
18 August 2017 - Date Drawing Near for Compliance with SEC Amendments to Form ADV and Recordkeeping Rules
8 August 2017 - New Wyoming Investment Adviser Registration Law Impacts SEC Registration Requirements
18 July 2017
- Crowdfunding Portals – If You Build It, Will They Come?
18 October 2017 - Parker MacIntyre Publishes Whitepaper on Private Investment Fund Formation
3 October 2017 - Georgia Securities Commissioner Holds Second “Fairness Hearing” in Recent M&A Deal
25 August 2017 - SEC Chairman Delivers Speech Affirming Agency’s Role in Facilitating Capital Formation
17 July 2017 - Georgia Amends State “Crowdfunding” Rule to Conform to New SEC Rule 147A
17 July 2017 - Private Placement Brokers Await Attention by SEC
6 June 2017 - SEC Adopts JOBS Act Inflation Adjustments for Title III Crowdfunding and Title I Emerging Growth Companies
25 May 2017 - On One-Year Anniversary of Reg CF, JOBS Act Author Urges Significant Revisions
24 May 2017 - States Begin to Adjust Exemptions as Effective Date for New Rule 147A Draws Near
16 February 2017
Social Media
Contact & Map