Sanders Wommack

SEC uses its power like Roger Goodell

So Ms Bennett admits to gross inflation of her AUM. Reporting 5x your highest AUM is fraud, plain and simple! What am I missing here? Let’s hope the SEC decides to refer Ms Bennett out for criminal action.

Interesting that Bernie Madoff was mentioned in this article as a reason that the SEC has come down hard on advisors as Bennett has now been arrested for running a $20 million Ponzi scheme. She also lost her home arrest status in waiting for the trail because she repeatedly contacted people she was told not to contact as terms for being allowed house arrest. Her true nature has been revealed. I agree with a former customer. She is a sociopath. Enjoy jail Bennett. Hope you are allowed to chose your prison shoes in different colors.

In exclusive RIABiz interview, Dawn Bennett tells how she's striking back at SEC after a $4-million legal drubbing has left her 30-year career in shambles

Dawn Bennett: We weren't an RIA and weren't running our books like an RIA. We were an independent B-D and were doing it correctly that way.

MarketCounsel

Hamburger Law Firm

Legg Mason

Wheat First Securities

Patriarch Partners

Brian Hamburger

Mary Jo White

Dawn Bennett

Eugene Ingoglia

Lynn Tilton

The past two years have been some of the most momentous in the relatively short history of the RIA profession. Legislators and regulators have been gradually embracing the fiduciary standard, though whether it will fully apply to everyone calling themselves advisors remains to be seen.

The Department of Labor’s crusade to lower costs and increase transparency in retirement plans means a spate of new regulations affecting advisors and brokers in that market. Dodd-Frank Financial Reform, meanwhile, continues to unroll across the profession, with the biggest change being a shift to state oversight of RIAs with less than $100 million AUM. In this section, you’ll find continually updated RIABiz.com coverage on all these topics.

RIA Compliance

The RIA business is many good things but integrated from a gender standpoint is not one of them. This is not so great. Women are the majority of humanity and they have an asset-building strategy that can't be beat. Women outlive their beer-and-steak mates and end up with big estates. But today's women have too another strategy -- pursuing wealth in the workplace. Yet when they go to find fellow women to talk all this through with, they don't readily find them. 

Companies big and small have for decades fallen over themselves to say that they have women's initiatives but I can't think of one that has amounted to much. But there are stories-- dozens or hundreds -- of them about women exerting their influence on this business and we are starting to collect them. It's a starting place -- documenting the ground being covered by women in the form of engaging tales graphically depicted by the physiognomy of the fairer sex.

Women of Wealth Management

The advisor and popular radio host has hired the 'London Whale' attorney to prove she and her firm were victims of a regulatory witch hunt

In exclusive RIABiz interview, Dawn Bennett tells how she's striking back at SEC after a $4-million legal drubbing has left her 30-year career in shambles

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November 18, 2022 at 2:56 AM

Jack B.

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In exclusive RIABiz interview, Dawn Bennett tells how she's striking back at SEC after a $4-million legal drubbing has left her 30-year career in shambles

Related Moves

November 18, 2022 at 2:56 AM

Jack B.

The Javier

In the Know

RIABiz Directory

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.css-1d1ry76{padding-top:12px;padding-bottom:12px;}Special Sections

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