WebNov 2, 2024 · I’d like to thank the members of the SEC staff who worked on this rule, including: Christian Corkery, David Driscoll, Nathan Schuur, Tim Dulaney, Trevor Tatum, Bradley Gude, Angela Mokodean, Brian Johnson, Sarah ten Siethoff, and William Birdthistle in the Division of Investment Management; WebMar 23, 2024 · The SEC's deep dive into how financial firms are using messaging apps is one of the biggest compliance challenges confronting advisors. ... to the integrity of the markets,” Corey Schuster, co ...
SEC Charges Private Fund Adviser and Principal with Fraud
WebNov 19, 2024 · Peter Driscoll, Director, SEC’s Office of Compliance Inspections and Examinations (OCIE) 1:05 pm to 1:55 pm. ... Corey Schuster, Assistant Director, AMU, Enforcement. Panel Administrator. Keith Kanyan, Program Specialist, National Exam Program Office, OCIE. 3:50 pm to 4:45 pm. Panel IV: Hot Topics. WebMar 11, 2024 · FOR IMMEDIATE RELEASE2024-28. Washington D.C., March 11, 2024 —. The Securities and Exchange Commission today announced settled charges against 79 investment advisers who will return more than $125 million to clients, with a substantial majority of the funds going to retail investors. The actions stem from the SEC’s Share … arim meaning
SEC.gov National Seminar Agenda*
WebCorey William Schuster June 22, 1977 - November 2, 2024 Corey William Schuster, 42, fortified with the sacraments of Holy Mother Church on Saturday, November 2, 2024. … WebJun 26, 2024 · The SEC seeks permanent injunctions against all defendants, conduct-based injunctions against Burgess, Wojciechowski, and Cook, and civil money penalties against Microbilt, Burgess, Wojciechowski, and Cook. The SEC’s investigation has been conducted by Jessica Neiterman and supervised by Corey Schuster of the SEC’s Asset … WebJun 20, 2024 · The SEC’s investigation, which is continuing, is being conducted by Luke Fitzgerald, Donna Norman and Andrew Shoenthal of the Asset Management Unit, Donald A. Ryba of the Chicago Regional Office,... ari moerman