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Examinations Enforcement: SEC Actions (1054)
Your search for Examinations Enforcement: SEC Actions returned 1054 results.
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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: Investment Adviser
Just before the government shutdown late last month, the SEC released news that it was dropping a five-year legal battle against four adviser principa...
12/26/2018 | Content area: Broker-Dealer
The Commission’s complaint alleged that, between March 2015 and February 2016, Jumper misappropriated approximately $5,700,000 from an employee pensio...
12/20/2018 | Content area: Broker-Dealer
Failures in the anti-money laundering programs of UBS Financial and UBS Securities have resulted in triple jeopardy for the firms and a total of $15 m...
12/13/2018 | Content area: Investment Adviser
In a not-totally-unexpected move, the SEC is targeting advisers that may have placed clients in higher fee mutual fund share classes yet elected not t...
12/12/2018 | Content area: Investment Adviser
Kessler, the sole owner of an investment adviser, was a registered investment adviser representative and engaged in a number of prohibited business pr...
12/06/2018 | Content area: Private Fund
The SEC was crystal clear in its 2018 priorities letter and the pronouncement will likely appear yet again in next year’s iteration: “the proper discl...
12/06/2018 | Content area: Investment Adviser
Litvak was also criminally charged by the U.S. Attorney for the District of Connecticut based on the same facts underlying the SEC's action. Litvak w...
11/21/2018 | Content area: Investment Adviser
The SEC has yet again offered up its current thinking on digital securities. On the same day that the Commission settled charges against two more comp...
11/20/2018 | Content area: Investment Adviser
Kitts forged her clients' signatures on withdrawal requests to misappropriate money from their variable annuity and investment accounts. Over the cour...
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...
11/14/2018 | Content area: Investment Adviser
Cody defrauded at least three of his retired clients over a twelve-year period by concealing the fact that their retirement accounts had lost substant...
11/09/2018 | Content area: Investment Adviser
Woodley submitted a series of invoices to his custodian to collect funds from client accounts as compensation purportedly for services performed or in...
11/09/2018 | Content area: Broker-Dealer
Palermo entered certain fictitious sales orders in J.P. Turner’s books, records and electronic trading systems, despite knowing that the named counter...
11/08/2018 | Content area: Broker-Dealer
Simanski made material misrepresentations to his clients to induce them to send money to him personally to invest in companies which he claimed to own...
11/02/2018 | Content area: Investment Adviser
Simanski raised over $3.9 million from approximately 27 of his brokerage customers and investment advisory clients, many of them retired or elderly, b...
11/02/2018 | Content area: Investment Adviser
Banks, IV, a former Atlanta-based investment adviser who the SEC alleged defrauded a former professional basketball player. By consent, the Court prev...
11/02/2018 | Content area: Broker-Dealer
Graham consented to a Commission order that, among other sanctions, imposed a securities industry bar and a penny stock bar with a right to apply for ...
11/01/2018 | Content area: Broker-Dealer
1Broker, registered in the Republic of the Marshall Islands, and its CEO Patrick Brunner solicited investors from the United States and around the wor...
10/30/2018 | Content area: Broker-Dealer
Kelly used his companies, Lion's Share Financial of East Cobb, Inc., Lion's Share & Associates, Inc., and Lionsshare Tax Services, LLC, to raise at l...


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