On February 13, 2019 the Securities Commissioner of the State of Colorado entered a final order revoking the registration of Leyenda Capital Partners, LLC and permanently barring its managing member, Jeffrey Francis Thompson, from the securities industry. Jeffrey’s license is…
Submitted by: Joshua Kelly, Compliance Consultant, Red Oak Compliance Solutions On December 12th, the SEC imposed remedial sanctions and issued a cease and desist order against Wisconsin-based investment adviser and broker-dealer Landaas & Company (L&C) and their Chairman and sole…
Submitted by: Joshua Kelly, Compliance Consultant, Red Oak Compliance Solutions As 2018 comes to a close and the new year quickly approaches, Red Oak Compliance Solutions has some friendly reminders to help you begin 2019 on a good note.…
The year 2018 was a surprise in many ways. There was an expectation that the SEC would become less focused on the regulations that many officials found overly onerous. However, it was business as usual at the SEC as they…
According to Hedge Fund Research (HFR), a massive data analytics company covering the private fund industry, in 2017, 735 funds were launched, and 784 funds were liquidated. Hedge funds are supposed to be run by the best and brightest…
Submitted by: Carmela Ravi, Business Development Director, Red Oak Compliance Solutions The relationship between a compliance consulting firm and a client is a partnership. It is a collaboration which is based on the delivery of excellent service and mutual respect.…