Sean McKessy

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  Are RIAs Really a Bigger Regulatory Problem Than Brokers?

  By Bob Clark, AdvisorOne  |  March 20, 2012

  A look at the number of enforcement actions against each group provides a ready answer: part two of a series on the Bizarro World inside the beltway

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  SEC, Industry Experts Issue Stern Warnings to CCOs

  By Melanie Waddell, AdvisorOne  |  March 8, 2012

  Chief compliance officers received a number of stern warnings on Thursday during the Investment Adviser Association’s annual compliance conference just outside Washington.

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  Whistleblowers

  By Les Abromovitz  |  January 1, 2012

  A whistleblower is any individual providing the SEC with original information related to a possible violation of federal securities law.  The Dodd-Frank Act established a whistleblower program that enables the SEC to reward individuals who voluntarily provide such information.

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  SEC Launches Whistleblower Webpage to Report Violations

  By Melanie Waddell, AdvisorOne  |  August 15, 2011

  With the official launch of its Whistleblower office on Friday, the SEC also launched a webpage that allows individuals to report a violation of the federal securities laws and apply for a financial award.

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  SEC Names McKessy to Head Whistleblower Office

  By Melanie Waddell, AdvisorOne  |  February 22, 2011

  The Securities and Exchange Commission (SEC) named on Feb. 18 Sean McKessy as the new head of its Whistleblower Office, which is housed within the agencies Division of Enforcement.