Advisory firms may want to more closely adhere to a culture of compliance because in doing so, they may be more likely to satisfy SEC requirements and head off potential enforcement actions. This is especially relevant in the wake of a January 3 settlement with an advisory firm, LKL Investment Counsel and Mark Love, its president and CCO.
ACA Insights, a weekly newsletter for investment management legal and compliance professions, ran a story on the potential ramifications of failing to satisfy SEC requirements citing the recent LKL settlement. Scarinci Hollenbeck partner Paul Lieberman was quoted in the article run for the January 2018 issue. An excerpt of Mr. Lieberman’s comments and a link to the entire newsletter are below.
Excerpt From the ACA Insights Article
“Every adviser must carefully understand the nature of its own business and its disclosure requirements or face the possibility of being sanctioned severely,”
Do you have any questions regarding the legal topic at the center of this article? If so, please feel free to contact Paul A. Lieberman or any one of the Scarinci Hollenbeck attorneys you believe can best answer your inquiry.
No Aspect of the advertisement has been approved by the Supreme Court. Results may vary depending on your particular facts and legal circumstances.
Mark Tabakin, Donald Scarinci and Don Pepe, Named to NJBIZ's 2026 Power 50 in Law List
Scarinci Hollenbeck Congratulates Partners Mark Tabakin, Donald Scarinci, and Don Pepe for Inclusion in NJBIZ’s 2026 Power 50 in Law List Scarinci Hollenbeck, LLC is proud to announce that Donald Scarinci, Founding & Managing Partner, Donald M. Pepe, Partner of the firm’s Commercial Real Estate Department, and Mark A. Tabakin, Partner in the firm’s Public […]
Scarinci Hollenbeck Named a 2026 Best Place to Work in New Jersey by NJBIZ
Scarinci Hollenbeck, LLC has been named to the NJBIZ 2026 Best Places to Work in New Jersey, earning recognition in the Medium Companies category (50 to 249 employees). Now in its latest edition, the annual program honors New Jersey organizations that go beyond the paycheck to invest in their employees’ growth and quality of life. […]
Angela A. Turiano and Seraphema Menna Elected to New Jersey Women Lawyers Association Board of Directors
Two Scarinci Hollenbeck Attorneys Selected as Committee Directors for the 2026-2028 Term Scarinci Hollenbeck is pleased to announce that two of its attorneys, Angela A. Turiano and Seraphema Menna, have been elected to the New Jersey Women Lawyers Association (NJWLA) Board of Directors for the 2026-2028 term. Angela was selected as a Director on the […]
Mark Tabakin and 6-Attorney Team Join Scarinci Hollenbeck, Advancing Statewide Vision
Tabakin and Team Advance the Footprint of Scarinci Hollenbeck’s Labor & Employment, Litigation, Real Estate, Land Use, and Public Law Practice Throughout New Jersey Scarinci Hollenbeck announced the addition of Mark Tabakin and his team of six attorneys, significantly strengthening the firm’s Labor & Employment, Litigation, Land Use, and Environmental practices for private and public […]
Scarinci Hollenbeck Launches 2026 Summer Associate Program
Rutgers and Seton Hall Law Students Join the Firm’s 8-Week Summer Associate Program. May 27th, 2026 – Little Falls, NJ – Two law students will join Scarinci Hollenbeck’s 2026 Summer Associate Program, which begins Monday, June 1st. Both students will assist with all aspects of the firm’s practice groups throughout their 8-week internship. They will […]
Scarinci Hollenbeck Attorneys Named 2026 New York Metro Super Lawyers
Three Scarinci Hollenbeck NYC Attorneys Earn Prestigious Honor Legal rankings publisher Super Lawyers has named three lawyers from Scarinci Hollenbeck’s New York office to its 2026 New York Metro Super Lawyers list. The firm congratulates Ryan O. Miller, Angela A. Turiano, and John D. Giampolo for this notable accomplishment. The Super Lawyers patented selection process […]
No Aspect of the advertisement has been approved by the Supreme Court. Results may vary depending on your particular facts and legal circumstances.
Sign up to get the latest from our attorneys!
Explore What Matters Most to You.
Consider subscribing to our Firm Insights mailing list by clicking the button below so you can keep up to date with the firm`s latest articles covering various legal topics.
Stay informed and inspired with the latest updates, insights, and events from Scarinci Hollenbeck. Our resource library provides valuable content across a range of categories to keep you connected and ahead of the curve.
Let`s get in touch!
Sign up to get the latest from the Scarinci Hollenbeck, LLC attorneys!
