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Examinations Enforcement: SEC Actions (1085)
Your search for Examinations Enforcement: SEC Actions returned 1085 results.
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3/21/2019 | Content area: Private Fund
As the investment adviser to both the seller and buyer of a commercial real estate asset, Tamlico had a clear conflict. When the New York-based firm a...
3/20/2019 | Content area: Broker-Dealer
The SEC's complaint alleged, among other things, that Wells Fargo, which served as the placement agent for the 38 Studios bond offering, failed to dis...
3/15/2019 | Content area: Broker-Dealer
The SEC's complaint alleges that Walker improperly provided an unfair competitive advantage to one investment adviser due to his romantic interest in ...
3/14/2019 | Content area: Investment Adviser
Gooder can clearly do better. Grenville Gooder, Jr., a 55-year securities industry veteran, and his SEC-registered advisory firm Ascension Asset Manag...
3/14/2019 | Content area: Broker-Dealer
Nearly a year after being charged by the SEC with failing to supervise a registered rep alleged to have been involved in a long-standing pump-and-dump...
3/11/2019 | Content area: Investment Adviser
Respondent self-reported to the Commission the violations discussed in this Order pursuant to the Division of Enforcement’s (the “Division”) Share Cla...
3/08/2019 | Content area: Investment Adviser
At 67 years of age – and after 35 years in the business – John Schmidt is going out of the industry wrapped in infamy.   A federal judge last month or...
3/08/2019 | Content area: Investment Adviser
Promises of a high level of service at a low cost are always enticing but sometimes those promises prove empty. Such was the case for many clients of ...
3/07/2019 | Content area: Investment Adviser
Individual B never agreed to serve as Ascension’s CCO and was unaware that Ascension and Gooder had named him as the firm’s CCO until after he was con...
3/06/2019 | Content area: Investment Adviser
Goldsky's Forms ADV for 2016 and 2017, which Grace signed, falsely stated that Goldsky's hedge fund, Goldsky Global Alpha Fund, LP, had an auditor, a ...
3/05/2019 | Content area: Investment Adviser
Montoya engaged in a scheme to defraud investors in the RMA Fund of millions of dollars. Montoya made fraudulent representations to investors concerni...
3/04/2019 | Content area: Broker-Dealer
Gennity recommended to four customers a pattern of high-cost, in-and-out trading without any reasonable basis to believe that his customers could make...
3/04/2019 | Content area: Broker-Dealer
Gennity recommended to four customers – Customers 1 through 4 – a pattern of high cost, in-and-out trading without any reasonable basis to believe tha...
3/01/2019 | Content area: Broker-Dealer
Schmidt sold securities belonging to at least seven of his retail brokerage customers and secretly transferred over $1 million in proceeds to at least...
2/28/2019 | Content area: Investment Adviser
The recent government shutdown resulted in the SEC operating with a bare bones staff only addressing emergencies involving market integrity, investor ...
2/27/2019 | Content area: Investment Adviser
The SEC filed an emergency action in federal district court against Castleberry Financial Services Group LLC, president T. Jonathon Turner, formerly k...
2/25/2019 | Content area: Broker-Dealer
The count of the criminal information to which Katsaros pleaded guilty alleged that, from in or about 2011 through in or about January 2013, Katsaros ...
2/22/2019 | Content area: Broker-Dealer
The embezzlement counts of the criminal complaints to which Romer pled no contest and to which he was convicted alleged, among other things, that as a...
2/21/2019 | Content area: Investment Adviser
The benefits of self-reporting to the SEC can be seen in the latest Commission enforcement action involving an unregistered initial coin offering. A W...
2/21/2019 | Content area: Broker-Dealer
Spartan Securities filed fraudulent applications with Financial Industry Regulatory Authority (FINRA) to publicly list the companies' common stock and...


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