Recent Blog Posts

SEC Adopts Amendments to Modernize Internet Investment Adviser Registration Exemption

By Thomas Kellerman & The Securities Compliance Team on April 16th, 2024

Posted in Investment Management & Securities

Background On March 27, 2024, the Securities and Exchange Commission adopted amendments to modernize the rule for internet investment advisers relying on the exemption that qualifies them for SEC registration as smaller investment advisers. Investment advisers generally need to meet the assets under management threshold, advise a registered investment company,… Continue reading

Five Investment Advisers Charged by SEC for Marketing Rule Violations

By Ronald Minsky & The Securities Compliance Team on April 16th, 2024

Posted in Investment Management & Securities

On April 12, 2024, the Securities and Exchange Commission announced settled charges against five registered investment advisers for violations of the Marketing Rule. The firms have agreed to settle and pay a combined $200,000 in penalties, as well as cease and desist from violating the charged provisions, and to implement… Continue reading

$6.5 MILLION TEXTING PENALTY: Investment Adviser Charged by SEC for Recordkeeping Failures

By Thomas Kellerman & The Securities Compliance Team on April 5th, 2024

Posted in Investment Management & Securities

On April 3, 2024, the Securities and Exchange Commission announced charges against a registered investment adviser for recordkeeping failures regarding personal device communications and pre-clearance of securities transactions in employees’ personal accounts. The firm was charged and agreed to pay a $6.5 million dollar penalty and to implement improvements to… Continue reading

SEC Settles Charges Against Investment Advisers for Misleading AI Claims

By Thomas Kellerman & The Securities Compliance Team on March 21st, 2024

Posted in Investment Management & Securities

Background On March 18, 2024, the Securities and Exchange Commission announced settled charges against two SEC registered investment advisers for making false and misleading statements about their purported use of artificial intelligence (“AI”). The firms agreed to settle the SEC’s charges and pay $400,000 in total civil penalties. Cause of… Continue reading

New Mexico Trial Court Upholds Admissibility of Diffusion Tensor Imaging (DTI)

By Bruce H. Stern on March 18th, 2024

Posted in Brain Injury Legal Cases, Brain Injury News

In a recent judicial ruling that adds to the growing body of case law affirming the legal acceptance of advanced medical imaging techniques, the court once again endorsed the admissibility of Diffusion Tensor Imaging (DTI) as a credible method for diagnosing traumatic brain injuries. This particular verdict was rendered in… Continue reading

JOANN’s Chapter 11 Bankruptcy Filing: Stitching Together a Reorganization

By Thomas S. Onder on March 18th, 2024

Posted in Bankruptcy & Creditor's Rights

JOANN, Inc., aka Jo-Ann Stores Holdings Inc. aka JOANN aka Jo-Ann Fabrics and Crafts, the 80-year-old, Ohio-based, arts-and-crafts operator filed for Chapter 11 bankruptcy protection in the District of Delaware Bankruptcy Court, docket #24-10418 (CTG) on March 18, 2024. According to The New York Times, the retailer has a deal with its… Continue reading

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Hamilton, NJ

100 American Metro Boulevard
Hamilton, NJ 08619
Phone: 609.896.9060
Secondary phone: 800.535.3425
Fax: 609.896.0629
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Marlton, NJ

40 Lake Center, 401 NJ-73, Suite 130
Marlton, NJ 08053
Phone: 856.874.4443
Secondary phone: 888.241.7424
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Yardley, PA

777 Township Line Road, Suite 120
Yardley, PA 19067
Phone: 267.907.9600
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New York, NY

5 Pennsylvania Plaza 23rd Floor
New York, NY 10001
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Philadelphia, PA

The Bellevue 200 S Broad St #600
Philadelphia, PA 19102
Phone: 267.907.9600
Secondary phone: 800.535.3425
Fax: 215.564.6245
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Bridgeton, NJ

78 W Broad St
Bridgeton, NJ 08302
Phone: 856.874.4443
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