Parker MacIntyre
Legal Services Provided
Attorneys
Arbitration & Mediation, Securities and Stockbroker Fraud
Administrative, Business, Employment and Securities
Business, Securities and Stockbroker Fraud
Arbitration & Mediation, Business and Securities
Business, Securities and Stockbroker Fraud
Arbitration & Mediation, Personal Injury and Securities
Administrative, Business and Securities
Websites & Blogs
- Appeals Court Ruling in Case Involving Inadequate Disclosure by RIA May Have Significant Impact on Future SEC Enforcement Proceedings
16 May 2019 - SEC Commissioner Fears that Non-Public Guidance from Agency Staffers May Amount to “Secret Law”
7 May 2019 - SEC Identifies Common Compliance Issues with Reg S-P Privacy Notices and Safeguarding Policies
30 April 2019 - SEC Charges Adviser and its COO with Fraud for Orchestrating Sham Cross Trade between Clients
22 April 2019 - Parker MacIntyre Co-Sponsors Financial Education and Empowerment Workshop for Women
17 April 2019 - Firm’s Failure to Act on Numerous Compliance “Red Flags” Results in $250,000 Penalty and Censure by SEC
4 April 2019 - SEC Solicits “Dialogue” with Public on Custody Rule Implications Raised by Crypto-Assets
28 March 2019 - SEC Case Against Wells Fargo Adviser Highlights Need for Supervision of Account Statements Sent to Clients
18 March 2019 - Advisers Encouraged to Assess Use of New Electronic Messaging Technologies as part of Annual Compliance Review Process
13 March 2019
- SEC Adopts Temporary Rules to Extend Filing Deadlines in Response to Hurricane Michael
19 October 2018 - Do U.S. Securities Laws Apply to Your Transaction?
27 August 2018 - An SEC Commissioner Hears and Heeds the Call to Rationalize the Private Placement Broker (“Finder”) Industry
7 March 2018 - South Dakota Proposes Rules Governing Federal Regulation Crowdfunding and Regulation A Notice Filings
21 November 2017 - Iowa Adopts Amendments Implementing Notice Filings for Federal Crowdfunding and Regulation A Offerings
16 November 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
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