September 29, 2023 Bloomberg reported that Citadel has indicated it is planning to push back against the […]
September 2023 Overview & Summary On Sept. 6, 2023, the Securities and Exchange Commission’s Division […]
September 25, 2023 What: Sources close to relevant investigations indicate that at least a dozen […]
What: SEC voted in a split 3-2 decision on July 26th to release a proposal […]
Founder and Managing Partner
Principal and Head of Execution Services
Principal and Chief Operating Officer
Principal and Head of Fund and Dealer Advisory
At sporting events, if you find yourself rooting for the referees, you just may be a Compliance Crusader!