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Beth Alter

As seen in: JD Supra
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Articles by Beth Alter

"An Ounce of Prevention"...How to Reduce the Risk of Litigation and Enforcement Proceedings | JD Supra

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By Beth Alter, John Ashmead, David Baron Verified
| JD Supra
July 27, 2023 Beth Alter, John Ashmead, David Baron, Michael Considine, Robert Gayda, Thomas Ross Hooper, Russell Johnston, Mark Kotwick, Brian Maloney, Michael McNamara, Philip Moustakis, Jaimie Nawaday, Anne Patin, Bruce Paulsen, Michael Watling, Jack Yoskowitz Seward & Kissel LLP + Follow x Following x Following - Unfollow Contact To embed, copy and paste the code into your website or blog: To paraphrase what Ben Franklin may have been alluding to nearly 300 years ago in his famous quote,...
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SEC Files First Reg BI Action Against Broker-Dealer | JD Supra

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By Michael Considine, Beth Alter, John Ashmead
| JD Supra
On June 15, 2022, the Securities and Exchange Commission (“SEC”) filed a complaint against California-based broker-dealer Western International Securities, Inc. (“Western”) alleging violations of Regulation Best Interest (“Reg BI”).1 This is the first enforcement action the SEC has brought under Reg BI, offering a view into how it intends to enforce the new measure.
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