Month: April 2010

The Commission filed a settled registration fraud action yesterday against Daniel O’Riordan, the president of Paradigm Tactical Products. According to the complaint, the founder of the company sold millions of shares of unregistered stock into the market. The stock price …

COMMISSION FILES SETTLED REGISTRATION FRAUD CASE Read More »

The question of harmonizing the standards governing all those who give investment advice is receiving increasing attention. Initially, the Administration’s White Paper last June suggested that the standard of care for brokers who provide investment advice should be the same …

SUPPORT FOR A UNIFORM FIDUCIARY STANARD Read More »