Clarity and Understanding for the Workplace

Brightline Solutions™

Brightline Solutions™ offers a clear, clean, easily-navigable approach to meet daily compliance needs within the financial services industry.

Investment advisers are constantly on the lookout for new solutions to tackle the multitude of challenges, questions and concerns that Compliance Departments face on a daily basis.

Brightline Solutions™ has taken a fresh approach to meet these daily challenges by putting all the pieces of the puzzle together in an easily-navigable format, presenting all the ideas, references, and backup material in one place. As you navigate between rules, releases, guidance, no-action letters, and enforcement cases, along with risks, testing and disclosure requirements – all in one place – a much clearer picture emerges. These puzzle pieces come together to offer you Brightline Solutions™ relational regulatory database - the IA Act Unwrapped™ – which address your daily, weekly, monthly and annual compliance concerns.

The Brightline Solutions™ Approach

A "bright-line rule" is a clearly defined rule or standard, leaving little room for interpretation in an effort to produce predictable and consistent results.

Brightline Solutions™ uses this same predictable, consistent approach as we create the ideal products for the financial services industry. We clearly align research, archiving, data-mapping, programming and design, alongside an unparalleled standard of excellence, to offer products that you can easily use to enhance the clarity and understanding of your daily tasks. We have created products unlike any ever seen in the industry, and have elevated compliance to a new level of sophistication.

Headline News

SEC’s New Strategic Plan Puts Investors, Innovation, and Performance at Top

LendingClub Asset Management & Former Executives Charged with Misleading Investors & Breaching Fiduciary Duty
No charges against parent company which had promptly self-reported

Elon Musk Charged with Securities Fraud for Misleading Tweets

SEC Charges Firm with Deficient Cybersecurity Procedures
First enforcement action for violations of Reg S-ID Identity Theft Reg Flags Rule


Brightline Solutions updates IA Act UnwrappedTM on a daily basis. Recent updates are listed below. Click HERE for a more detailed summary of the information.

IA-5058 In the Matter of Michael B. Rothenberg

IA-5057 In the Matter of John H. Rogicki

SEC Strategic Plan 2018 - 2022
Added to the IA Act UnwrappedTM Examination Tools Database/2018 Information

IA-5056 In the Matter of Ross B. Shapiro

LR-24312 SEC v. Ross B. Shapiro, Michael A. Gramins and Tyler G. Peters

From the Data Rush to the Data Wars: A Data Revolution in Financial Markets
Added to the IA Act UnwrappedTM Examination Tools Database/2018 Information

Remedies and Relief in SEC Enforcement Actions

Added to the IA Act UnwrappedTM Examination Tools Database/2018 Information

Testimony on “Oversight of the SEC’s Division of Investment Management”
Added to the IA Act UnwrappedTM Examination Tools Database/2018 Information

IA-5055 In the Matter of Paul T. Rampoldi

IA-5054 In the Matter of LendingClub Asset Management, LLC, Renaud Laplanche, and Carrie Dolan

IA-5053 In the Matter of Lawrence Allen Deshetler

LR-24291 SEC v. Goldsky Asset Management, LLC and Kenneth Grace

IA-5052 In the Matter of Gary Bernard Ross

IA-5051 In the Matter of Ismail Elmas

IA-5050 In the Matter of Putnam Investment Management, LLC and Zachary Harrison

IA-5049 In the Matter of Leroy "Lee" K. Young

IA-5048 In the Matter of Voya Financial Advisors, Inc.

IA-5047 In the Matter of Hudson Housing Capital, LLC
Added to the IA Act UnwrappedTM Releases Database and to Risks/Significant Enforcement Cases under Regulatory Database Rules 206(4)-2 & 206(4)-7

IA-5046 In the Matter of Thomas J. Caufield

IA-5045 In the Matter of Todd Wortman

IA-5044 In the Matter of Dawn Roberts

IA-5043 In the Matter of MAry A. Faher

IA-5042 In the Matter of Cory Ryan Williams

LR-24285 SEC v. Hope Advisors, LLC, et al.

LR-24283 SEC v. Jason W. Galanis, et al.

IA-5041 In the Matter of Ophrys, LLC

IA-5040 In the Matter of Joel N. Burstein

Sixth action arising out of enforcement initiative to combat cherry-picking led by the SEC's Los Angeles Regional Office:
LR-24278 SEC v. World Tree Financial, LLC, et al.

IA-5039 In the Matter of Travis A. Branch

IA-5038 In the Matter of Karen Bruton, CPA and Hope Advisors, LLC

Orders vacating bars:
IA-5032 In the Matter of Wing F. Chau
IA-5031 In the Matter of Terry M. Deru
IA-5030 In the Matter of Evan Andrew Zarefsky
IA-5029 In the Matter of Anthony Scolaro
IA-5028 In the Matter of James R. Holdman
IA-5027 In the Matter of Matthew G. Teeple
IA-5026 In the Matter of James E. Putman
IA-5025 In the Matter of Walter J. Clarke
IA-5024 In the Matter of Enrica Cotellessa-Pitz
IA-5023 In the Matter of Paul T. Mannion, Jr. and Andrew S. Reckles
IA-5022 In the Matter of Phillip Dennis Murphy
IA-5021 In the Matter of Karl Motey
IA-5020 In the Matter of Daniel Moshe Naeh
IA-5016 In the Matter of Frank R. Peperno
IA-5015 In the Matter of Matthew Crisp
IA-5014 In the Matter of John J. Bravata and Antonio M. Bravata

IA-5037 In the Matter of Susan E. Walker

IA-5036 In the Matter of Jennifer R. Johnson

IA-5035 In the Matter of Creative Planning, Inc. and Peter A. Mallouk
Added to the IA Act UnwrappedTM Releases Database and to Significant Cases under Regulatory Database Rule 204A-1 Code of Ethics & Rule 206(4)-1 Advertisements

LR-24270 SEC v. Thomas J. Caufield

IA-5034 In the Matter of Heidi Wivolin

IA-5033 In the Matter of John L. Gathright, Jr.

Orders vacating bars from association:
IA-5019 In the Matter of Douglas F. Whitman
IA-5018 In the Matter of I. Joseph Massoud
IA-5017 In the Matter of Brian Scott Zwerner
IA-5013 In the Matter of Matthew Adam Rothman
IA-5012 In the Matter of Frances M. Guggino
IA-5011 In the Matter of Edward L. Maggiacomo, Jr.