OCIE’s 2015 Cybersecurity Examination Initiative

In April 2014, OCIE announced that it would conduct examinations to identify cybersecurity risks and assess cybersecurity in our industry. In February 2015, OCIE gave us the findings of these examinations, including some of the legal, regulatory, and compliance issues … Read More ›

First-Ever Cybersecurity Enforcement Action!

On September 22, 2015 the SEC charged a St. Louis-based investment adviser with failing to establish proper policies and procedures to safeguard personally identifiable information in advance of a breach. The Firm utilized a web server to house its client … Read More ›

Buyer Beware!

Mackensen & Company, Inc. (“MCI”) and Warren J. Mackensen have submitted an Offer of Settlement which was accepted by the Securities and Exchange Commission related to proceedings brought by or on behalf of the Commission. Mr. Mackensen and his family … Read More ›

New Office

We’ve moved to a new office in the same office complex.  Our new space provides for a more cohesive working environment that better fits our team structure, with plenty of room to accommodate our growing firm. Our mailing address will … Read More ›