November 27, 2017
More SEC Adviser Exams Projected for 2017 and 2018 An article published in InvestmentNews on November 4, 2017, reported that the Chairman of the Securities and Exchange Commission (SEC), Jay Clayton, intends to increase the number of financial adviser examinations conducted by the SEC each year, thus enabling the securities law enforcement agency’s examination division...
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How to Respond to a SEC Wells Notice The Securities and Exchange Commission’s (SEC) Division of Enforcement is responsible for enforcing the federal securities laws. The Enforcement Division performs this function through its investigations and, if evidence is developed in the investigation that would support filing charges, through the SEC’s filing of cases either in...
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The Law Firm of David Chase is currently reviewing customer complaints made against former Miami, Florida-based Morgan Stanley broker Edward L Barger that allege misrepresentation, unauthorized trading and unsuitable recommendations. According to FINRA’s BrokerCheck report on Barger, a complaint alleging misrepresentation and unsuitable recommendations relating to equity listed investments was filed in August of 2017,...
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