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 Cancels Registration - Firm Has Not Met Conditions of the Internet Adviser Exemption under the Advisers Act

Court Dismisses Appeal Filed by Former F-Squared CEO - Affirms SEC’s Judgment

Investment Management Announcement Regarding Recommencement of Operations

OCIE Announcement Regarding Recommencement of Operations


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-5116 In the Matter of John Thomas Capital Management Group LLC and George R. Jarkesy Jr.
OPINION - Order Regarding Further Proceedings

IA-5115 In the Matter of Vishal Savla

IA-5114 In the Matter of Brian Hirsch

IA-5113 In the Matter of Bennett Group Financial Services, LLC and Dawn J. Bennett

IA-5112 In the Matter of Hector A. May

IA-5111 Adjustments to Civil Monetary Penalty Amounts

IA-5110 Ajenifuja Investments, LLC; Order Cancelling Registration
Registrant has not met the conditions of the Internet adviser exemption
Added to the IA Act UnwrappedTM Releases Database and linked to the Risks and Plain English Description Tabs of Regulatory Database Rule 203A-2: Exemptions from prohibition on Commission registration.

IA-5109 In the Matter of Timothy S. Batchelor

IA-5108 In the Matter of Ronald W. Nichter

LR-24390 SEC v. Thomas Conrad, Jr. et al.

IA-5107 In the Matter of Andrew B. Scherr

IA-5106 In the Matter of Kenneth Grace

LR-24388 SEC v. Alexander C. Burns, et al.

IA-5105 In the Matter of John L. Gaithright, Jr.

IA-5104 In the Matter of John Austin Gibson, Jr.

IA-5103 In re: Pending Administrative Proceedings
Appropriations to the Commission have been restored - the SEC lifts the stay.

LR-24386 SEC v. Daniel H. Glick, et al.

LR-24384 SEC v. Howard B. Present
Added to the IA Act UnwrappedTM Enforcement Case Database and linked to Regulatory Database Rule 206(4)-8 Risks/Significant Enfocement Cases Tab

IA-5102 In the Matter of Apollo Management, L.P.
Added to the IA Act UnwrappedTM Releases Database and to the No-Action/Exemptive Requests Tab under Regulatory Database Rule 206(4)-5

LR-24383 SEC  v. Joseph A. Meyer, Jr. and Statim Holdings, Inc.

IA-5101 In re: Pending Administrative Proceedings
Lapse in appropriations forces stays in all pending administrative proceedings

IA-5100 In the Matter of Katz, Sapper & Miller, LLP, and Scott C. Price, CPA
Added to the IA Act UnwrappedTM Releases Database and to Risks/Significant Cases under Regulatory Database Custody Rule 206(4)-2

IA-5099 In the Matter of Stephen T. Carbonella

IA-5098 In the Matter of John Sherman Jumper

IA-5097 In the Matter of Walter John Dubiel

IA-5096 In the Matter of Lightyear Capital LLC

IA-5095 In the Matter of Alexander C. Burns

IA-5094 In the Matter of Warren D. Nadel

IA-5093 In the Matter of Timbervest, LLC

IA-5092 In the Matter of Patric Ken Baccam

IA-5091 In the Matter of Mohammed Riad and Kevin Timothy Swanson

IA-5090 In the Matter of Thoroughbred Financial Services, LLC, Thomas Jenkins Parker, and Lawrence Randall “Randy” Hartley

IA-5089 In the Matter of Paul Edward "Ed" Lloyd, Jr. CPA

IA-5088 In the Matter of Black Diamond Asset Management, LLC and Robert Wilson

IA-5085 In the Matter of Sterling Global Strategies, LLC
Added to the IA Act UnwrappedTM Releases Database and linked to the term "back-testing" in the Glossary & Definitions Database