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    Home / Tag: SEC

    Tag: SEC

    Braden Perry Featured in Kansas City Business Journal Article on Financial Fraud During COVID-19

    Braden Perry Featured in Kansas City Business Journal Article on Financial Fraud During COVID-19

    Kansas City Business Journal interviewed Braden Perry in the article “Businesses Beware: Financial Fraud is on the Rise“, discussing an upswing in financial fraud in Kansas City while more people

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    Posted April 14, 2020 | by admin |in White Collar Crime
    Braden Perry Featured in Article on Dismissed Mueller Case

    Braden Perry Featured in Article on Dismissed Mueller Case

    In the 2016, two Russian companies were prosecuted for their alleged interference in the U.S. presidential election. Robert Mueller originally filed the case, which has now been dismissed by U.S.

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    Posted March 24, 2020 | by admin |in White Collar Crime
    Diageo Charged with Disclosure Failures by the SEC

    Diageo Charged with Disclosure Failures by the SEC

    Alcohol producer Diageo plc, has been charged by the Securities and Exchange Commission (SEC) for violating antifraud provisions of  Section 17(a)(2) and (3) of the Securities Act of 1933 and

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    Posted February 19, 2020 | by admin |in SEC, Securities, White Collar Crime

    Investment Advisor Sued by SEC for Fraud by Overcharging Advisory Fees

    The Securities and Exchange Commission (“SEC”) charged Stephen Brandon Anderson and his company, River Source Wealth Management, an RIA located in North Carolina alleging the firm systematically overcharging his clients.

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    Posted May 28, 2019 | by admin |in SEC, White Collar Crime
    SEC Files Emergency Action in Real Estate Investment Ponzi Scheme

    SEC Files Emergency Action in Real Estate Investment Ponzi Scheme

    Yesterday, the SEC sought emergency action in federal court charging Robert Morgan, a New York residential and commercial real estate developer, and two of his entities, Morgan Mezzanine Fund Manager

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    Posted May 23, 2019 | by admin |in SEC, White Collar Crime

    Checklist for Government Contact

    When a party is contacted by a federal, state, or local regulatory or law enforcement or government entity, including the Securities and Exchange Commission, the Commodity Futures Trading Commission, Federal Trade

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    Posted July 12, 2016 | by admin |in CFTC, SEC, White Collar Crime

    Kennyhertz Perry, LLC Partner Braden Perry Talks Crowdfunding with the National Federation of Independent Business

    NFIB reporter Amy Baxter featured Kennyhertz Perry, LLC partner Braden Perry in a news article entitled, “How Crowdfunding Can Help Small Businesses.”  Perry discussed crowdfunding risk and rewards: “The biggest focus for small business owners

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    Posted December 20, 2015 | by admin |in Regulations, SEC

    Perry Talks Investment Due Diligence

    Braden Perry, partner in Kennyhertz Perry, LLC was contacted regarding U.S. Treasury securities and Treasury Inflation-Protected Securities (TIPS) for an article titled “Where to Invest When Safety is a Priority”

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    Posted February 6, 2015 | by admin |in News, Regulations, SEC, Securities

    SEC Approves Amendments to FINRA Rule 2310 and NASD Rule 2340

    The SEC approved amendments to NASD Rule 2340 (Customer Account Statements) to modify requirements regarding to the inclusion of per share estimated values for direct participation program (DPP) and unlisted real estate investment trust

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    Posted January 26, 2015 | by Braden Perry |in Compliance, News, SEC, White Collar Crime

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