Clarity and Understanding for the Workplace

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Address

Brightline Solutions, LLC
P.O. Box 121
Cornwall, CT 06753

Email:

info@BrightlineSolutions.com

Phone

Office: 860-672-4433
Fax: 860-364-1736

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Customer Service

Brightline Solutions is focused on the needs of our clients.

For information about our products and services, please email us at info@BrightlineSolutions.com. Our Customer Service agents will contact you within 24 hours.

For more immediate concerns, please call us at 860-672-4433.

Headline News

Risk-Based Examination Initiatives Focused on Registered Investment Companies
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Investor Testing of the Proposed Relationship Summary for IAs & BDs
Form CRS - Research Report
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Denial of Resources Undermined Effectiveness of IA’s Compliance Program Resulting in Compliance Failures
CCO's warnings were ignored
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SEC Enforcement Division Issues Report on FY 2018 Results
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Investment Adviser Compliance Issues Related to the Cash Solicitation Rule
OCIE National Exam Program Risk Alert
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SEC’s New Strategic Plan Puts Investors, Innovation, and Performance at Top
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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.

Costumes, Candy, and Compliance
SEC Commissioner Hester M. Peirce - Remarks at the NSCP 2018 National Membership Conference
Added to the IA Act UnwrappedTM Examination Tools Database/2018 Information and to the Risks Tab under Regulatory Database Rule 206(4)-7

IA-5064 In the Matter of Eldrick E. Woodley d/b/a Woodley & Co. Wealth Strategies

IA-5063 In the Matter of Douglas P. Simanski

Risk-Based Examination Initiatives Focused on Registered Investment Companies 
National Exam Program OCIE Risk Alert

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

Investor Testing of Form CRS Relationship Summary
SEC’s Office of the Investor Advocate Research Report
Added to the IA Act UnwrappedTM Examination Tools Database/2018 Information

Industrial Alliance, Investment Management Company
No-Action Letter under Advisers Act Sec. 203(a)

IA-5062 In the Matter of Mark A. Elste

IA-5061 In the Matter of Pennant Management, Inc.

IA-5060 In the Matter of Brett Thomas Graham

IA-5059 In the Matter of Todd Elliott Hitt

LR-24334 SEC v. Douglas P. Simanski

Enforcement Division Annual Report - FY18
Added to the IA Act UnwrappedTM Examination Tools Database/2018 Information

LR-24324 SEC v. Alexander C. Burns, et al

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.