- Posts by Gregory "Greg" A. Dodge
MemberGreg focuses his practice on advising U.S. and non-U.S. sponsors across the full spectrum of private investment fund formation matters including structuring and fundraising. Greg also advises sponsors on regulatory and ...
On October 2, 2024, the Securities and Exchange Commission (“SEC”) announced it had settled enforcement proceedings against Thrivent Investment Management, Inc. (“Thrivent”), a SEC dually-registered broker-dealer and investment adviser, stemming from Thrivent’s alleged failure to update a calculator tool utilized by its representatives to determine which shares in certain 529 College Savings Plans are recommended to its retail customers.
About MVA White Collar Defense, Investigations, and Regulatory Advice Blog
As government authorities around the world conduct overlapping investigations and bring parallel proceedings in evolving regulatory environments, companies and individuals face challenging regulatory and criminal enforcement dynamics. We provide in-depth analysis and up-to-date information to help our clients navigate these fast-moving areas.
The latest from MVA White Collar Defense, Investigations, and Regulatory Advice Blog
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- Acting Chairman Uyeda Suggests Revisiting the Role of State Securities Regulators in Connection with Mid-size Investment Advisers and Securities Registration