Clarity and Understanding for the Workplace


Compliance Training CAN be fun!

COMPLIANCE-OPOLY

for Investment Advisers

  • Move around the board landing on Advisers Act Rules
  • Answer Questions related to all aspects of compliance under the Advisers Act
  • Correct answers allow you to be paid Compliance Bucks
  • Purchase Investment Advisory Firms with your Compliance Bucks – others pay you rent!
  • Wrong answers result in Deficiencies
  • Too many Deficiencies get you sent to Enforcement - spend time in Jail with Bernie Madoff!

Compliance-Opoly for Investment Advisers
Score Card

See where additional compliance training may be necessary!

Headline News

SEC Provides Regulatory Relief & Assistance for Victims of Hurricane Florence
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Advertising and Related Code of Ethics Violations
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SEC Charges Hedge Fund Adviser with Short-and-Distort Scheme
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Statement Regarding Staff Proxy Advisory Letters
DIM withdraws two no-action letters
Read more...

Updates

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-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.