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Enforcement (292)
Your search for Enforcement returned 292 results.
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1/17/2019 | Content area: Investment Adviser
When four reps left Summit Equities ($3B in AUM) in Parsippany, N.J., they took client personally identifiable information with them – and the adviser...
1/17/2019 | Content area: Investment Adviser
The SEC's complaint alleges that Ieremenko circumvented EDGAR controls that require user authentication and then navigated within the EDGAR system. Ie...
1/10/2019 | Content area: Broker-Dealer
The warning system at Cetera Advisor Networks flashed red: a highly productive rep appeared to be engaged in questionable trading.   Hundreds of elect...
1/02/2019 | Content area: Private Fund
An old car product advertisement used to sell its product by stating “pay me now, or pay me later.”   This adage could apply to Lightyear Capital ($2....
12/21/2018 | Content area: Investment Adviser
Timbervest and the Division recognize that, according to Lucia v. SEC, 138 S. Ct. 2044 (2018), Timbervest would be entitled to a “new hearing” before ...
12/20/2018 | Content area: CPO/CTA
Haena Park showed so much promise. She couldn’t speak English when she moved to the U.S. at age 13 and yet graduated as valedictorian at her high scho...
11/29/2018 | Content area: Investment Adviser
Prosecutors say James Polese “lived a very affluent life on a generous salary and bonus structure for many years” yet he “chose to cheat and use his c...
11/29/2018 | Content area: Investment Adviser
A new lawsuit filed in federal court in California seeks to have further SEC ALJ proceedings against former IA Ray Lucia dismissed, claiming the ALJ s...
11/21/2018 | Content area: CPO/CTA
The CFTC’s enforcement division either had a bad FY 2017 or a very good FY 2018.   The Commission’s annual report card on its enforcement numbers anno...
11/21/2018 | Content area: Broker-Dealer
You can pick out two lessons in the story of a billing problem that affected more than 150,000 wealth management accounts at J.P. Morgan Securities.  ...
11/15/2018 | Content area: Investment Adviser
Legal briefs have been filed with the U.S. Court of Appeals in Washington in The Robare Group v. SEC, the latest installment in a four-year legal batt...
11/15/2018 | Content area: Investment Adviser
The SEC has upped its game with respect to investment adviser examinations given the ever-increasing number of registered IAs and one of its commissio...
11/09/2018 | Content area: Broker-Dealer
It’s a common complaint, often dismissed by regulators: small firm managers are disciplined relatively more severely than their counterparts at larger...
11/06/2018 | Content area: Investment Adviser
The number of enforcement actions against investment advisers and investment companies in FY 2018 jumped 32% – from 82 to 108, according to the SEC Di...
11/02/2018 | Content area: Investment Adviser
The Commission brought 821 actions (490 of which were “stand alone” actions) and obtained judgments and orders totaling more than $3.9 billion in disg...
11/01/2018 | Content area: Investment Adviser | Private Fund
Within days of an SEC action against Yorkville Advisors in 2012, the defendants filed a furious response, calling the claim of fraud “baseless,” “an e...
11/01/2018 | Content area: Broker-Dealer | CPO/CTA
In an effort to “minimize potential market disruptions” upsetting firms that deal with swaps and have the good fortunate to report to two regulators, ...
10/26/2018 | Content area: Investment Adviser
The Commission’s enforcement program is not a television show with a season-end cliffhanger. So why are we all standing around talking about it as if ...
10/25/2018 | Content area: Private Fund
When Michael Rothenberg discovered the SEC was investigating his Rothenberg Ventures advisory firm, he e-mailed investors to disclose that he had used...
10/23/2018 | Content area: Private Fund
Burns, the majority owner and control person of Southport Lane Management, LLC, acquired insurance companies and thereby obtained the ability to contr...


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