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Examinations Enforcement: SEC Actions (1161)
Your search for Examinations Enforcement: SEC Actions returned 1161 results.
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9/13/2019 | Content area: Investment Adviser
SEC Charges Investment Adviser for Defrauding Advisory Clients by Charging Improper Transaction Costs Litigation Release No. 24595 / September 13, 20...
9/13/2019 | Content area: Investment Adviser
Three Defendants Charged with $345 Million Fraud Agree to Permanent Injunctions Litigation Release No. 24593 / September 13, 2019 Securities and Exc...
9/13/2019 | Content area: Broker-Dealer
Court Denies Brokers' Attempt to Dismiss Commission-Splitting Claims Litigation Release No. 24591 / Sept. 13, 2019 Securities and Exchange Commissio...
9/11/2019 | Content area: Investment Adviser
Apostelos pleaded guilty to one count of theft or embezzlement from an employee pension plan and one count of conspiracy to commit mail and wire fraud...
9/11/2019 | Content area: Broker-Dealer
Strochak solicited investors in-person and through telephone and email communications, advised investors on the merits of the investments, and sold th...
9/10/2019 | Content area: Investment Adviser
SEC Obtains Final Judgment Against Investment Adviser in Cherry-Picking Scheme Litigation Release No. 24589 / September 10, 2019 Securities and Exch...
9/05/2019 | Content area: Broker-Dealer
Deficient trading reviews conducted by an inexperienced and untrained compliance associate has led to SEC charges that a New York-based broker-dealer ...
9/05/2019 | Content area: Investment Adviser
SEC Charges Investment Adviser with Fraud Litigation Release No. 24586 / September 5, 2019 Securities and Exchange Commission v. E. Herbert Hafen, C...
9/05/2019 | Content area: Investment Adviser
A lawsuit filed Aug. 29 in federal court claims an adviser breached its fiduciary duty obligations by placing clients in higher fee mutual fund share ...
9/05/2019 | Content area: Investment Adviser
Former adviser Ray Lucia succeeded in besting the SEC before the nation’s highest court in a ruling last year that the agency’s ALJ system was unconst...
9/03/2019 | Content area: Investment Adviser
It was alleged that between 2013 and 2016 while she was associated with the brokerage firm McKinley stole nearly $300,000 from the accounts of the eld...
8/29/2019 | Content area: Private Fund
It appears that Brenda Smith had a broad reach into the pockets of her hedge fund investors.  The SEC has charged Smith, her hedge fund Broad Reach Ca...
8/29/2019 | Content area: Investment Adviser
Imagine seeking a position with a multinational financial services company and not having to undergo a formal application process, having no defined q...
8/29/2019 | Content area: Investment Adviser
SEC Charges Investment Adviser with Defrauding Its Advisory Clients Litigation Release No. 24581 / August 29, 2019 Securities and Exchange Commissio...
8/29/2019 | Content area: Investment Adviser
SEC Charges Adviser Firm and Its Principals with Defrauding Retired NFL Players Litigation Release No. 24580 / August 29, 2019 Securities and Exchan...
8/29/2019 | Content area: Broker-Dealer
The Commission’s complaint alleged that, in connection with the sale of Agape and AMA securities, Massaro repeatedly sold investments offered by Agape...
8/27/2019 | Content area: Investment Adviser
SEC Charges Chicago-Based Investment Professional with Stealing Client Funds Litigation Release No. 24576 / August 27, 2019 Securities and Exchange ...
8/26/2019 | Content area: Investment Adviser
Indictment Issued Against Investment Adviser Named in SEC Action Litigation Release No. 24574 / August 26, 2019 United States v. Motty Mizrahi et al...
8/22/2019 | Content area: Investment Adviser
Financial Sherpa and its sole principal are now carrying the heavy weight of an SEC enforcement action and industry bar tied to a cherry-picking schem...
8/22/2019 | Content area: Broker-Dealer
Two more enforcement actions simultaneously announced by the SEC evidence the Commission’s continued focus on abusive practices in the handling of “pr...


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