Articles Posted in Investment Attorney

The Office of Compliance Inspections and Examinations (OCIE), in coordination with other Securities and Exchange Commission (SEC) staff released guidance and observations concerning investment advisers due diligence process for selecting alternative investments.  The OCIE has observed that investment advisers are increasingly recommending alternative investments to their clients in lieu of…

You’ve gone over your account statements and start to suspect that your broker hasn’t invested your assets appropriately.  What should you do?  The first step is to compile all of your documents and correspondence with your broker.  You should collect your monthly account statements, opening account documents, and any written…