Practice Management

Gensler first raised concerns about bond transparency in September, saying he’d asked the SEC staff to recommend ways to make the markets for corporate and municipal debt and mortgage backed-securities less opaque.

Gurbir S. Grewal is Director of Division of Enforcement, U.S. Securities and Exchange Commission

Melanie Senter Lubin is Maryland Securities Commissioner, President of the North American Securities Administrators Association

According to charges filed by the Justice Department and the SEC, New Jersey–based b/d and investment advisor Kenneth Welsh used clients’ funds to buy gold coins and precious metals.

The order concerning Lexion Capital Management comes one week after the commission claimed a Syracuse-based firm failed to file and deliver its form to the SEC and clients.

Think about the needs and current financial situations of the clients you want to attract for the long-term.