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News & Views

  • The SEC recently announced its Division of Examinations Observations: Investment Advisers’ Fee Calculations.

    • November 22, 2021
    • Posted by: giawatkins
    • Category: SEC
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    The SEC recently announced its Division of Examinations Observations: Investment Advisers’ Fee Calculations. The notice is expressly described as a follow-up to its 2018 Risk Alert. It highlights the importance of this topic with citations and guidance resulting from the focused examination of 130 firms referenced as the Advisory Fee Initiative. The key warning to advisers is

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  • SEC Continues Revenue Share Conflict Enforcement Priority – Cash Sweeps

    • August 9, 2021
    • Posted by: giawatkins
    • Category: SEC
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    As predicted in its 2021 Priorities Letter, the SEC has recently brought several enforcement actions against RIAs for failure to disclose conflicts involved in revenue sharing. In one case, the SEC alleged that the dual registrant RIA failed to disclose the conflicts involved in selecting cash sweep options offered through its Clearing Firm’s platform. According

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  • CFI Professional Insights Series: Featuring Susan M. Boudrot, Compliance Professional and Consultant

    • July 22, 2021
    • Posted by: giawatkins
    • Categories: CFI News, Professional Insights
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    Susan Boudrot is currently President of Susan M. Boudrot Consulting LLC. She was formerly the Global CCO of TD Ameritrade. Prior to TD Ameritrade, she ran her own successful consulting practice. She previously was CCO of Fidelity Personal & Workplace Investments, Vice President in Compliance at Charles Schwab, CCO and General Counsel at Brown &

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  • Replay of Advanced Techniques for Virtual Hearings Webinar

    • April 13, 2021
    • Posted by: giawatkins
    • Category: Webinar
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     If you were unable to join the nearly 200 professionals who registered to attend this important webinar live on April 7th, you can still benefit from the insights and guidance of Advanced Techniques for Virtual Hearings, which featured panelists who possess extensive experience in virtual FINRA hearings. As we return to a more “normal”

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  • CFI Professional Insights Series: Featuring Chris Lewis from Edward Jones

    • March 15, 2021
    • Posted by: giawatkins
    • Category: Professional Insights
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    Chris Lewis is a Principal and General Counsel at Edward Jones, where he is responsible for leading all associates who provide legal support to the firm and for Compliance and Government Relations. Chris joined Edward Jones in 2007 as a Principal and Deputy General Counsel in the Legal division. He was named as the firm’s

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  • CFI Professional Insights Series: Featuring Jonathan N. Santelli

    • November 2, 2020
    • Posted by: giawatkins
    • Category: Professional Insights
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    Jonathan N. Santelli serves as Executive Vice President and General Counsel at Raymond James Financial. He has held senior positions at a number of highly respected financial services firms, including First Republic Bank, Bank of America and Merrill Lynch & Co. Notably, while at Merrill Lynch, he represented that firm’s interests in 2008, during its

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  • Why FINRA’s 529 Plan Self- Reporting Initiative Matters a Year Later For Participating Firms and for Firms That Did Not Participate

    • July 13, 2020
    • Posted by: giawatkins
    • Category: Uncategorized
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    NSCP Currents — the flagship publication of the National Society of Compliance Professionals — has published “Why FINRA’s 529 Plan Self- Reporting Initiative Matters a Year Later For Participating Firms and for Firms That Did Not Participate,” an in-depth report co-authored by Capital Forensics and Eversheds Sutherland. Read the article HERE.  

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  • How to Prepare for and Conduct a FINRA Arbitration on Zoom: Insights & Best Practices

    • June 24, 2020
    • Posted by: giawatkins
    • Category: CFI News
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    Thursday, July 9, 2020 3pm – 4pm EDT Moderator: Eric Siber, Managing Director, Capital Forensics, Inc. The dynamics and outcomes of online arbitrations can be very different from in-person hearings. Our “lessons learned” from three panelists — who possess first-hand experience in FINRA arbitrations conducted on Zoom — are designed to help counsel prepare for, and

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  • CFI Professional Insights Series: Featuring Sandra Grannum

    • June 9, 2020
    • Posted by: giawatkins
    • Categories: CFI News, Professional Insights
    No Comments

    Sandra Dawn Grannum is a Partner in the Business Litigation Group at Faegre Drinker Biddle & Reath LLP, where she serves on the Firm’s governing board and she is co-chair of the Firm’s nationwide Securities and Financial Services Litigation Team. Sandy is a fellow of the American College of Trial Lawyers and concentrates her practice

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  • CFI Professional Insights Series: Featuring Skip Keesal

    • February 26, 2020
    • Posted by: giawatkins
    • Categories: CFI News, Professional Insights
    No Comments

    In 1970, Skip Keesal founded the law firm of Keesal, Young & Logan, which now has offices in Long Beach, San Francisco, Seattle, Anchorage, and Hong Kong; specializing across a very broad range of practice areas. Skip has tried more than 250 cases in 17 different states, including approximately 75 jury trials. Based his extensive

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