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Examinations Enforcement: SEC Actions (1132)
Your search for Examinations Enforcement: SEC Actions returned 1132 results.
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7/18/2019 | Content area: Private Fund
SEC Charges Atlanta Fund Adviser and Its Principal for Fraudulently Overvaluing Assets Litigation Release No. 24539 / July 18, 2019 U. S. Securities...
7/18/2019 | Content area: Investment Adviser
This matter involves Respondent Rege’s mispricing of investments for a private fund for which he served as a portfolio manager, resulting in artificia...
7/17/2019 | Content area: Broker-Dealer
SEC Obtains Final Judgments Against Founders of Real Estate Crowdfunding Portal Litigation Release No. 24536 / July 17, 2019 United States Securitie...
7/15/2019 | Content area: Broker-Dealer
SEC Charges Unregistered Broker Who Sold Retail Investors Securities in the Woodbridge and 1 Global Fraudulent Schemes Litigation Release No. 24531 /...
7/11/2019 | Content area: Investment Adviser
Claiming your firm manages over $1 billion in assets to nearly 100 prospects when in reality the firm has “never managed any significant assets” spark...
7/11/2019 | Content area: Investment Adviser
According to the indictment filed in Stark County, Ohio, Hannan defrauded nine individuals in a series of transactions between 2014 and 2017. Hannan w...
7/08/2019 | Content area: Broker-Dealer
SEC Obtains Judgment Against Broker Litigation Release No. 24528 / July 8, 2019 Securities and Exchange Commission v. Jovannie Aquino, No. 1:18-cv-0...
7/05/2019 | Content area: Investment Adviser
In an April speech, OCIE Director Peter Driscoll detailed five of his division’s exam priorities and core risk areas (IA Watch, May 9, 2019). An SEC e...
7/02/2019 | Content area: Investment Adviser
Glick and FMS provided clients with false account statements that hid Glick's improper use of client funds to pay personal expenses and his improper t...
7/01/2019 | Content area: Investment Adviser
SEC Charges Two Individuals for Fraud and Issuer for Unregistered Sale of Securities Litigation Release No. 24526 / July 1, 2019 U. S. Securities an...
6/27/2019 | Content area: Broker-Dealer
Donald Fowler previously had the inglorious distinction of being the impetus for an SEC investor alert warning about excessive trading and churning th...
6/27/2019 | Content area: Broker-Dealer
SEC Charges Municipal Advisor with Breaching Fiduciary Duty Litigation Release No. 24520 /June 27, 2019 Securities and Exchange Commission v. Comer ...
6/27/2019 | Content area: Investment Adviser
SEC Obtains Final Judgment Against Virginia Investment Adviser Charged with Fraud Litigation Release No. 24517 / June 27, 2019 Securities and Exchan...
6/24/2019 | Content area: Investment Adviser
LaGuardia, Jr., a resident of Lavallette, New Jersey, who controlled the investment adviser, L-R Managers, LLC, misappropriated investor money from pr...
6/24/2019 | Content area: Private Fund
The SEC alleged that Murakami misappropriated investor funds for business and personal expenses and made approximately $1.3 million in Ponzi-like paym...
6/21/2019 | Content area: Investment Adviser
On June 27, 2018, the SEC charged Edward Lee Moody, Jr. and his wholly-owned investment adviser firm CM Capital Management, LLC, with operating a Ponz...
6/20/2019 | Content area: Broker-Dealer
A $42 million settlement announced June 14 by the SEC now represents the largest recovery ever against a broker-dealer in the Commission’s ongoing inv...
6/17/2019 | Content area: Investment Adviser
The Commission’s complaint alleged that, from September 2013 until May 2016, Gill perpetrated an offering fraud and Ponzi scheme, by promising guarant...
6/13/2019 | Content area: Investment Adviser
They are well-known names now in the financial services industry—Kokesh, Lucia, Robare, and Lorenzo. For the SEC, they represent significant recent co...
6/13/2019 | Content area: Broker-Dealer
Dunkerley engaged in a scheme to defraud investors by orchestrating the acquisition of AAM and Hughes, and using their respective client funds to pur...


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