Strategic investment round from Dynasty Financial Partners and MarketCounsel Supports SmartRIA's Expansion into Enterprise Compliance Management and Reaffirms C
SmartRIA® Announces Second Strategic Investment Round from Dynasty Financial Partners and MarketCounsel streetinsider.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from streetinsider.com Daily Mail and Mail on Sunday newspapers.
Regulatory Update and Recent SEC Actions lexology.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from lexology.com Daily Mail and Mail on Sunday newspapers.
Asset manager Medley Management Inc. Friday accused Lowenstein Sandler LLP of professional malpractice, saying among other things its attorneys offered advice that was called into question by a regulator that fined the investment management firm and its former CEOs $10 million this week.
The Securities and Exchange Commission today charged publicly-traded asset manager Medley Management and its former co-CEOs, Brook B. Taube and Seth B. Taube, with making misrepresentations to investors and clients that created the illusion of Medley’s likely future growth.