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SEC Filed Complaint in California Against Envision Direct L.L.C., A Registered Investment Adviser

On March 2, the Securities and Exchange Commission (“SEC”) files a case against a former registered investment adviser, Envision Direct L.L.C. (“Envision”), and its owner Gary R. Headding (“Headding,” and together with Envision, “Defendants”). The SEC alleged that the Defendants …

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FHLB of Seattle Filed Lawsuits Against Wall Street Firms Concerning Mortgage-Backed Securities

Earlier this year, the Federal Home Loan Bank of Seattle filed lawsuits against 11 global financial institutions that sold it almost $4 billion in mortgage-backed securities during the height of the housing market bubble, saying those institutions made false or …

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SEC Series: Custody of Funds or Securities of Clients by Investment Advisers

On December 30, 2009, the SEC adopted amendments to the custody and recordkeeping rules under the Investment Advisers Act of 1940 and related forms. Below is a brief summary of these amendments. You may locate and review the entire SEC …

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SEC Series: The SEC Investment Advisory Committee

This is the first post by Wittenberg Law designed to track recent efforts by the U.S. Securities and Exchange Commission (SEC) to enhance investor confidence in the securities industry.  Below is the SEC’s press release regarding its formation of an …

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