Tag: Lucia

Raymond J. Lucia, owner of a Commission registered investment adviser, concluded an administrative proceeding that charged him with various violations of the Advisers Act in September 2012. In the Matter of Raymond J. Lucia Companies, Inc., Adm. Proc. File No. …

What Would Have Happened? The Long Trek of Raymond Lucia Read More »

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During the current partial government shutdown when few SEC Enforcement actions are being filed or settled it may be a good time to begin considering the future of the program. The Division has repeatedly announced that its focus is retail …

The Future Course of SEC Enforcement Read More »

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