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Conflict of interest

Administrative judge’s decision against ex-nursing home executive set for review

Administrative judge’s decision against ex-nursing home executive set for review

The SEC plans to review an administrative judge’s initial decision against Laurie Bebo, the former CEO of nursing home operator Assisted Living Concepts. Bebo in October was ordered to pay $4.2 million and hit with other sanctions for accounting and disclosure violations that included a scheme to falsify occupancy rates at the company’s facilities. The […]

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Brokers challenge restrictions in small stock pilot program

Brokers challenge restrictions in small stock pilot program

Brokerage firms and investment industry trade groups said an SEC plan to test an increase in the trading increments for small company stocks includes trading restrictions that will undermine the purpose of running the test. The SEC said the restrictions are needed to stem the migration of trading volume away from the regulated exchanges. Brokerage […]

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Auditors Continued to Mishandle Internal Control Reviews in 2014

Auditors Continued to Mishandle Internal Control Reviews in 2014

Helen Munter, the director of the PCAOB’s Division of Registration and Inspections, said audit firms are still having problems when they review clients’ financial reporting controls. Some firms have addressed the issue, and audit regulators have noted some improvement. But the firms still have more work to do to fully address the problems. The PCAOB’s […]

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Fund Manager Charged with Diverting Investor Money to Side Business

Fund Manager Charged with Diverting Investor Money to Side Business

The SEC Enforcement Division alleged that VERO Capital Management LLC and three executives funneled $4.4 million in investor money into a subsidiary while hiding their actions from investors. The firm was also accused of failing to properly safeguard client assets. The SEC accused a New York fund manager and three of its executives on December […]

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Brokerage Firms Push for Exemptions From Principal Trade Rule

Brokerage Firms Push for Exemptions From Principal Trade Rule

The SEC is planning to extend the exemption from its conflict-of-interest rules for investment advisers also registered as broker-dealers for another two years. Broker-dealers back the plan but are pushing for a longer or permanent exemption. Investor advocates oppose the extension and fear that investors remain vulnerable to abuse. Brokerage firms said they supported the […]

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Meet Paul Raymond

Meet Paul Raymond

Mr. Raymond is a sought after speaker in tax controversy law by many attorney, accountant, and business groups and at the request of the Internal Revenue Service, has presented programs at the IRS Nationwide Tax Forum, attended by tax professionals throughout the United States.

Additionally, he continues to be an active member in the Section of Taxation, American Bar Association, where he was the Past Chair of the Employment Taxes Committee.

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Member CA Bar Member Orange County Bar US Tax Court Attorney