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Examinations Enforcement: SEC Actions (749)
Your search for Examinations Enforcement: SEC Actions returned 749 results.
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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...
7/05/2019 | 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: 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...
6/21/2019 | 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...
6/17/2019 | 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...
6/11/2019 | Content area: Investment Adviser
Kitts was charged by the SEC for her six-year scheme to steal money from client accounts by forging client signatures on withdrawal requests from vari...
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...
5/09/2019 | 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...
4/11/2019 | 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...
4/10/2019 | 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...
4/01/2019 | 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...


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