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SEC Charges Private Fund Auditor and Audit Engagement Partner with Improper Professional Conduct
29 Mar 2023, 11:25 am by Mark Astarita
The Securities and Exchange Commission today announced settled charges against Spicer Jeffries LLP, an audit firm based in Denver, and audit engagement partner Sean P. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Eccleston Law Investigates Gibraltar Partners and Rahfco Funds Following Allegations that Former Edward Jones Brokers Were “Selling Away” Into These Investments
28 Sep 2011, 2:27 pm by JEccleston@ecclestonlaw.com (James J. Eccleston)
Hansen, Glenn Griffin, Vincent Puma, Kevin Nugent, Ward Onsa, Hudson Partners NYC, Spicer Jeffries LLP, SFG Accounting PLLC, Man Financial Inc., Permapave USA Corp., Verigreen, Steller Corporation Services, Capstone Investment Funds LLP, Meidinger & Associates CPA'S Prof LLC, Susan Meidinger, CPA, and Entrust Group dba Entrust Retirement Services. [read post]
FinancialCounsel - http://financialcounsel.typepad.com/financialcounsel/