- 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 face challenging regulatory and criminal enforcement dynamics. We help keep our clients up to date in these fast-moving areas and to serve as a thought leader.
The latest from MVA White Collar Defense, Investigations, and Regulatory Advice Blog
- Fifth Circuit Panel Reinstates District Court’s Nationwide Stay on the CTA
- Fifth Circuit Stays District Court’s Nationwide CTA Injunction; entities once again required to report
- Nationwide CTA Injunction Remains in Place Following First FinCEN Stay Request; Second FinCEN Stay Request Pending Before Fifth Circuit
- CFTC Advisory On The Use of Artificial Intelligence: Buzzword or Bogeyman?