Day Pitney remains committed to providing quality legal counsel, while protecting our clients and employees, and transforming our communities into more just, equal and equitable spaces. For more information, please visit our COVID-19 Resource Center | Racial Justice and Equity Task Force.

×
×
About Day Pitney Careers News Client Access

Insights

Publications Events Blogs

VCExperts Publishes Day Pitney Article on SEC's Crackdown on Investment Adviser Compliance Deficiencies

Publisher: VCExperts
February 3, 2012
Day Pitney Author(s) R. Scott Beach Henry Nelson Massey

VCExperts published a client alert by Scott Beach, Hank Massey, Jonathan Morris, Jane Broderick and Sam Jennings that warns of an SEC crackdown on firms with compliance deficiencies under the Investment Advisers Act of 1940, as amended. The article highlights three cases, in particular, that point to the penalties one may face if they disregard SEC compliance.

Download
Recommended
New Beneficial Ownership Reporting Obligation Approved
January 13, 2021

Day Pitney Alert

LIBOR Termination May Be Postponed to 2023
December 1, 2020

Day Pitney Alert

New Jersey Economic Development Authority Promulgates New Programs to Assist Businesses Impacted by COVID-19 Outbreak
March 31, 2020

Day Pitney Alert

When Good Deals Go Bad – Pitfalls to Avoid During the Sale Process

On January 15, Brian Fischer spoke at "When Good Deals Go Bad – Pitfalls to Avoid During the Sale Process," an Exit Planning Exchange (XPX) program held at The Hartford Club in Hartford, CT.

January 15, 2020
Exit Planning Exchange (XPX), The Hartford Club, Hartford, CT
Starting Your Healthtech Company

On January 8, David Waizer gave a presentation, "Starting Your Healthtech Company," to the Biomedical Entrepreneurship Network at Robert Wood Johnson Medical School – Rutgers.

January 8, 2020
Rutgers Robert Wood Johnson Medical School, New Brunswick, NJ
Day Pitney Elects Four New Partners
January 4, 2021

Day Pitney Press Release

Patricia Jimenez Elected President of Connecticut Hispanic Bar Association
June 26, 2020

Patricia "Paty" Jimenez has been elected President of the Connecticut Hispanic Bar Association (CHBA).

Day Pitney Welcomes Its Fall 2019 Incoming Associate Class
September 3, 2019

Day Pitney Press Release

Day Pitney Represents GHK Capital Partners in its Recapitalization of Brown & Settle, Inc.
March 7, 2019

Day Pitney Press Release

Day Pitney Named "Highly Commended" Best Private Client Law Firm at 2019 Private Asset Management Awards
February 11, 2019

Day Pitney Press Release
New Jersey Hartford Stamford Greenwich New Haven West Hartford Boston
New York Washington, DC Boca Raton Delray Beach Miami West Palm Beach