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AUG 12, 2016 - AdvisorOne

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AUG 12, 2016 - Business Insider

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The tech IPO window could be opening — here's what to expect in September

The tech IPO market is primed for a resurgence in September  — after a historically sluggish start to the year. At least three tech startups that have filed for IPOs confidentially could make their intentions public as early as the week of August 22, according to people familiar with the matter. Those include the software-as-a-service company Apptio, the cybersecurity-software company Carbon Black, and the software company Coupa.  Apptio, which is ...

Tags: The tech IPO window could be opening — here's what to expect in September,  Sec Latest News

AUG 12, 2016 - Financial Planning magazine

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SEC bars advisers for defrauding clients of more than $5M

One of the alleged fraudsters used client funds to pay off gambling debts, according to authorities.

Tags: SEC bars advisers for defrauding clients of more than $5M,  Sec Latest News

AUG 12, 2016 - Financial Planning magazine

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Former NFL linebacker and ex-wirehouse adviser ran $10M fraud, SEC charges

Former Philadelphia Eagles player Merrill Robertson Jr. funded "luxurious" lifestyle with life savings of football coaches, complaint says.

Tags: Former NFL linebacker and ex-wirehouse adviser ran $10M fraud, SEC charges,  Sec Latest News