Julie Riewe

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  One Advisor, Two Trials: Does News on One Taint the Other?

  By Melanie Waddell, AdvisorOne  |  March 28, 2013

  The SEC told a judge in Boston on Tuesday that a news release it issued on an advisor accused of a fake hedge fund scheme would not taint the advisor's separate criminal trial on a tax matter.

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  What I Learned at Our Compliance Conference, Pt. 2: What SEC Examiners Are Pursuing

  By David Tittsworth, IAA  |  March 18, 2013

  What are the SEC's priorities in examining investment advisors? A look at OCIE's priorities, and at what may be the most underreported development in advisor exams.

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  SEC, FINRA Enforcement Roundup: Fund Execs First to Face Charges of Overvaluing Assets

  By Marlene Y. Satter, AdvisorOne  |  November 29, 2012

  Three top executives of KCAP Financial Inc., a New York-based publicly traded fund being regulated as a business development company, have been charged by the SEC with overstating the fund’s assets during the financial crisis. a complaint against the president and owner of a Polish-born brokerage firm for targeting the Polish...