SEC Settlement Proves That It’s Easy Enough For An IA To Get In Trouble Just For Doing Nothing

By Alan M. Wolper

About Broker-Dealer & Investment Adviser Financial Services Financial Services Regulatory

In a new post to Ulmer’s Broker-Dealer Law Corner blog, Ulmer Partner Alan Wolper discusses a recent SEC settlement and how it proves that it can be easy for an investment advisor to get into trouble by simply doing nothing. To read the full post, click here.