Compliance Watch

Apr 27, 2025

View in Browser

ALM | ThinkAdvisor

Compliance Watch

News

Jury Finds Massachusetts Advisor Failed to Disclose Annuity Conflicts to Retirees

By Melanie Waddell

The verdict holds Jeffrey Cutter and his firm accountable for breaching fiduciary duties to clients, the SEC said.

New Bill Cuts Capital Gains Taxes for Some High Earners

By Melanie Waddell

The legislation moves the long-term capital gains tax thresholds to align with income tax brackets.

Video

Ray of Hope Emerges for 'Forever Bars': SEC Roundup

By Nicolas Morgan and Tom Zaccaro

In four separate cases, the SEC has granted applications filed by barred professionals seeking to resume working.

Short Seller Loses Bid to Toss SEC Fraud Case

By Erik Larson

A lawsuit accuses Andrew Left of committing fraud through stock trades, social media posts and research reports.

News

Paul Atkins Sworn in as SEC Chair

By Melanie Waddell

Atkins must now contend with DOGE, market turbulence and a slimmed-down staff.

Advisor Who Left for Raymond James Breached Contract, TD Alleges

By Dinah Wisenberg Brin

About 30 clients with $48 million in assets left after Adam Bracy's departure, the bank says.

Resources

RIA Quarterly Period: Q4 2024

Sponsored by: Addepar

Explore RIA trends using Addepar's exclusive dataset from nearly $2T AUM. Uncover key shifts in portfolio allocations, performance drivers, and risk-adjusted returns to inform your strategies.

LEARN MORE

WEBCAST DATE: April 29, 2025

Beyond Marketing: Turning Education into Your Most Effective Growth Tool

Sponsored by FMT Solutions

Join this webcast to equip yourself with actionable insights to enhance your firm's growth through education-led initiatives.

LEARN MORE

Connect With ThinkAdvisor

About Us | Privacy Policy

150 E 42nd St | New York, NY 10017 | 1-877-256-2472