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Examinations Enforcement: SEC Actions (1105)
Your search for Examinations Enforcement: SEC Actions returned 1105 results.
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5/16/2019 | Content area: Investment Adviser
A federal appeals court May 13 dismissed an appeal by adviser Louis Navellier in an attempt to have his compliance consultant’s records deemed to be p...
5/14/2019 | Content area: Broker-Dealer
Rivera-Padilla admitted that beginning in January 27, 2011 and continuing through January 2016, he engaged in a conspiracy and scheme to defraud with ...
5/09/2019 | Content area: Investment Adviser
If you’re having difficulty making the case for sufficient resources for your firm’s compliance program, you may want to consider laying the latest sp...
5/06/2019 | Content area: Investment Adviser | Broker-Dealer
Rocco Roveccio, a New Jersey resident, recommended to seven customers a pattern of high-cost, in-and-out trading without any reasonable basis to belie...
5/03/2019 | Content area: Investment Adviser
From approximately 2009 through March 2011, Gierten misappropriated a total of $39,000 from one of his clients, who was an elderly military veteran. G...
4/26/2019 | Content area: Private Fund
The complaint alleges that, in reality, there were no private placements. Dougherty was simply running a Ponzi scheme by taking new investor money and...
4/25/2019 | Content area: Private Fund
Many would say only having four to five hours’ worth of telephone calls and performing a few Google searches doesn’t constitute sufficient due diligen...
4/25/2019 | Content area: Broker-Dealer
Berkey's customers incurred significant costs with every transaction and the securities were held briefly; thus, the price of the securities had to ri...
4/23/2019 | Content area: Private Fund
Lyons and various investment adviser entities with the name Synchrony that Lyons controlled engaged in a scheme to misappropriate assets from hedge fu...
4/22/2019 | Content area: Broker-Dealer
The count of the indictment to which Winstead pled guilty alleged that on April 1, 2014, Winstead, in his capacity as a Nationwide Insurance agent, re...
4/11/2019 | Content area: Investment Adviser
Five years after F-Squared imploded over the use of fraudulent marketing data, a second adviser seeks to keep its compliance consultant’s work from th...
4/11/2019 | Content area: Private Fund
The SEC alleges that Naqvi and his firm raised money for the Abraaj Growth Markets Health Fund ("Health Fund"), collecting more than $100 million over...
4/10/2019 | Content area: Investment Adviser
Gonzalo Ortiz, of Hackensack, New Jersey, falsely touted his success in investing in stocks and promised the investor a minimum 50% return in a year, ...
4/04/2019 | Content area: Investment Adviser
Former IA rep Jeremy Drake will be calling a federal prison home for the next 2½ years in a case that suggests compliance needs to closely examine how...
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...
4/02/2019 | Content area: Broker-Dealer
In May 2015, the SEC charged Robert P. DePalo with defrauding over twenty investors by misrepresenting the value of their investments and use of their...
4/01/2019 | Content area: Investment Adviser
Mizrahi falsely claimed that MBIG used sophisticated trading strategies to generate "guaranteed" returns of between 2-3% per month, the investments we...
3/28/2019 | Content area: Private Fund
Three years after Brendan Ross registered his advisory firm, Direct Lending Investments ($866M in AUM) in Glendale, Calif., the 100% owner and CEO abr...
3/28/2019 | Content area: Investment Adviser
He engaged in an illicit scheme to steal approximately $6 million from his employer. Diver, whose duties included managing the advisory firm's payroll...
3/25/2019 | Content area: Private Fund
Direct Lending advises a combination of private funds that invest in various lending platforms, including QuarterSpot, Inc., an online small business ...


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