Clarity and Understanding for the Workplace

Our Company

Brightline Solutions™ has set out to create the perfect products for the financial securities industry, aligning research, archiving, programming and design, to offer an unparalleled standard of excellence in the clarity and understanding of how to approach daily tasks. We have created products unlike any ever seen in the industry, and have taken online compliance to a new level.

Management

“Strive for perfection in everything. Take the best idea that exists and make it better. If it doesn't exist, create it” ~Sir Henry Royce

Jane Worthington has over two decades of experience in the areas of research, writing, and product development in the financial services industry. Before founding Brightline Solutions, LLC, Jane was employed at National Regulatory Services (“NRS”) for eighteen years, most recently as Manager of Information Products where she was responsible for tracking regulatory changes for the financial services industry and for product development and enhancement. In that role, Jane was instrumental in creating many of NRS’ research-database products, and in developing NRS’ Certification Program (IACCP) and NRS’ Certification Examination for Investment Adviser Compliance Officers. Jane also worked in the area of research and writing at NSCP, the National Society of Compliance Professionals.

Prior to working in the securities industry, Jane began her computer career with Optimum Resources/Weekly Reader Family Software, developing some of the first educational software for home computers. This software is housed in the permanent archives at Stanford University in California - documenting the microcomputing gaming industry during its formative years.

Headline News

Private Equity Firm Charged with Compliance Failures

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SEC Shuts Down Fraudulent IA Targeting Senior Citizens

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SEC Charges IA with Custody Rule and Related Violations

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SEC Charges Companies and CEO for Misleading COVID-19 Claims
SEC Divisions and Offices Post COVID-19 Related Information Online

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Morgan Stanley Smith Barney Charged with Providing Misleading Information to Retail Clients

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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.

IA-5512 In the Matter of Oxbow Advisors, LLC

IA-5511 In the Matter of Syed Arham Arbab

IA-5510 In the Matter of Ares Management, LLC

IA-5503 In the Matter of Wallace Byers

IA-5509 In the Matter of William Andrew Hightower

LR-24822 SEC v. Paul Horton Smith, Sr.; Northstar Communications, LLC; Planning Services, Inc.; and eGate, LLC

IA-5508 In the Matter of TSP Capital Management Group, LLC
Added to the IA Act UnwrappedTM Releases Database and Regulatory Database Rule 206(4)-2 Risks/Significant Cases Tab

IA-5507 In the Matter of Barton W. Stuck

IA-5506 Notice of Intention to Cancel Registration of McDaniel Investments, LLC

IA-5505 In the Matter of Edmunds Private Capital, LLC

IA-5504 Notice of Intention to Cancel Registration of Strategic Options, LLC

Keynote Address: Securities Enforcement Forum West 2020
Steven Peikin - Co-Director, Division of Enforcement (May 12, 2020)
Including: COVID-19 Enforcement Matters & Ongoing Non-COVID-19 Work
Added to the IA Act UnwrappedTM Examination Tools Database/2020 Information

LR-24817 SEC v. Ambassador Advisors, LLC, et al

IA-5500 In the Matter of Justin N. Deckert
IA-5502 In the Matter of Travis Laska
IA-5501 In the Matter of Stacy L. Beane

LR-24815 SEC v. TCA Fund Management Group Corp. and TCA Global Credit Fund GP, Ltd.

IA-5499 In the Matter of Morgan Stanley Smith Barney LLC
Added to the IA Act UnwrappedTM Releases Database and linked to the term "wrap fee program" in the Glossary & Definitions Database

IA-5498 In the Matter of Lawrence E. Hagedorn

IA-5497 In the Matter of Barry R. Bekkedam

IA-5496 In the Matter of D.B. Fitzpatrick & Co., Inc.
Added to the IA Act UnwrappedTM Releases Database and to the No-Action/Exemptive Release Tab under Regulatory Database Rule 206(4)-5, Pay to Play