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Examinations Enforcement: SEC Actions (738)
Your search for Examinations Enforcement: SEC Actions returned 738 results.
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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...
3/28/2019 | Content area: Investment Adviser
He engaged in an illicit scheme to steal approximately $6 million from his employer. Diver, whose duties included managing the advisory firm's payroll...
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...
3/11/2019 | 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...
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...
2/21/2019 | 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...


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