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 are working from home. People’s home internet networks are likely not as secure as their office network. Frauds are being committing through email communication, and

Investment Advisor Sued by SEC for Fraud by Overcharging Advisory Fees

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. The SEC alleges that the Anderson charged approximately 40% more than the agreed-upon maximum customer advisory fees.  The SEC said that Anderson also misled his

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 Commission, Medicare/Medicaid agencies such as the Center for Medicare and Medicaid Services and the Office of Inspector General of the United States Department of Health

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 is the risk of crowdfunding and how to mitigate it.” To read the entire article, please visit http://www.nfib.com/article/-70513/  About Braden Perry Braden Perry has been featured

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” for Depositaccounts.com.  Perry discussed the proper due diligence when determining investments, primarily creativity coupled with common sense. Perry stated, “[t]he more research and preparation that is

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 (REIT) securities on account statements, and to FINRA Rule 2310 (Direct Participation Programs) to make corresponding changes to the requirements to members’ participation in public offerings of DPP