Alex Lipton

Oct 30, 2024 | mondaq.com | Alex Lipton |Jeremy Cantor |Scott Moss

On September 20, 2024, the U.S. Securities and Exchange Commission (SEC) announced a settlement with an investment adviser for, among other things, failure to register with the SEC as an investment adviser. The SEC found that the unregistered investment adviser was "operationally integrated" with its SEC-registered affiliate such that the two entities should have been treated as one for purposes of determining registration requirements.

Oct 29, 2024 | jdsupra.com | Jeremy Cantor |Alex Lipton |Scott Moss

On September 20, 2024, the U.S. Securities and Exchange Commission (SEC) announced a settlement with an investment adviser for, among other things, failure to register with the SEC as an investment adviser. The SEC found that the unregistered investment adviser was “operationally integrated” with its SEC-registered affiliate such that the two entities should have been treated as one for purposes of determining registration requirements.

Aug 2, 2023 | scientificamerican.com | Alex Lipton |Alex Pentland

In the past year social media panics caused “flash crashes” that bankrupted Silicon Valley Bank (SVB) and made giant banks such as Deutsche Bank wobble. SVB’s officers had unwisely purchased long-term U.S. Treasury bonds, which lost value in 2023 when interest rates increased dramatically.