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Enforcement (333)
Your search for Enforcement returned 333 results.
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5/16/2019 | Content area: Investment Adviser
When a client asked Michael Giokas if he could record their phone conversation, the owner/CCO of Giokas Wealth Advisors in Clarence, N.Y., had no idea...
5/15/2019 | Content area: Investment Adviser
Even though SEC Commissioner Hester Peirce supported “many” of the share class allocation settlements announced by the Commission’s Enforcement Divisi...
5/10/2019 | Content area: CPO/CTA
Bretas de Freitas and PCI fraudulently solicited at least $7.8 million from various victims for the defendants’ commodity pools or managed futures fun...
5/09/2019 | Content area: CPO/CTA
Think of it as a book you hope you never need to read. The CFTC’s Division of Enforcement has put out its 59-page enforcement manual. It offers everyt...
5/09/2019 | Content area: Private Fund
Many CFOs at private equity fund advisers also serve as CCOs. It’s important that someone wearing both hats also receive quality supervision as well. ...
5/09/2019 | Content area: CPO/CTA
Smothermon falsely inflated the value of the trading book he oversaw in his role as head trader of the company’s natural gas division in order to conc...
5/08/2019 | Content area: CPO/CTA
This Manual was prepared by the CFTC Division of Enforcement’s Office of Chief Counsel, and is property of the United States Government. The Manual r...
5/08/2019 | Content area: Investment Adviser
The Enforcement Manual (“Manual”) is a reference for staff in the Division of Enforcement (“Division” or “Enforcement”) of the U.S. Securities and Exc...
5/08/2019 | Content area: CPO/CTA
It is critical that the CFTC continues to work positively with its overseas regulatory counterparts, not just in the UK, but in all financial centers....
5/03/2019 | Content area: CPO/CTA
As alleged, a mere fraction of participant funds were traded at NADEX, with at least $2.3 million being misappropriated, leaving a shortfall in excess...
5/02/2019 | Content area: Investment Adviser
Five years on and more than $700,000 in, Mark Robare isn’t sorry he fought the SEC over charges of negligent Form ADV disclosures following the mixed ...
5/01/2019 | Content area: Investment Adviser
Both sides in The Robare Group v. SEC case could claim a partial victory after the U.S. Court of Appeals in Washington, D.C. April 30 issued its rulin...
4/29/2019 | Content area: CPO/CTA
James McDonald, Director of the CFTC’s Enforcement Division, stated: “Unfortunately, we have seen fraudsters in our markets seek to take advantage of...
4/25/2019 | Content area: Broker-Dealer
The rules for statutory disqualification are straightforward enough. Willfully violate the securities laws or commit a felony and you’re subject to di...
4/22/2019 | Content area: CPO/CTA
To entice pool participants, the defendants falsely represented that, among other things, pool participants would receive a minimum 12% guaranteed ann...
4/18/2019 | Content area: Investment Adviser
It sure looks like 34-year-old Nikesh Patel won’t be going anywhere anytime soon. The U.S. Court of Appeals for the 7th Circuit in Chicago April 16 af...
4/11/2019 | Content area: CPO/CTA
Luke Adrian, the CEO of the CPO East West Global in Highland Park, Ill., notes that the firm’s settlement of NFA charges is the first enforcement acti...
4/11/2019 | Content area: CPO/CTA
Last November, the CFTC laid out a series of four priorities that would guide its enforcement program (CPO/CTA Watch, Nov. 21, 2018). Now, it’s readyi...
4/04/2019 | Content area: Investment Adviser
Should your firm do business in Germany, know that the regulator there, BaFIN, is fining U.S.-based advisers that fail to file required disclosures on...
4/04/2019 | Content area: Investment Adviser
As the long-standing chief operating officer of the SEC-registered M&R Capital Management ($528M in AUM), Richard Diver had his annual compensation pe...


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